This is an excellent opportunity to join a supportive growing company who pride themselves on offering a first-class service to their clients and their staff too!


Our client is a highly respected, privately owned financial advisory firm who provide market-leading wealth solutions. They currently have a vacancy for a Compliance Officer to join their team based in Highnam, Gloucester.


This is a key role within the firm, working closely with Directors, advisers, paraplanners, and administrators to ensure the business continues to operate in line with FCA expectations and Consumer Duty requirements.


Key Responsibilities:
-Undertaking pre-and post-advice file checking, including the review of client files, suitability reports, and supporting documentation
-Supporting the firm’s Training & Competency (T&C) framework
-Working collaboratively with advisers, paraplanners, and administrators to ensure cases are processed efficiently, consistently, and compliantly
-Providing technical oversight and guidance to the paraplanning team in relation to report writing and suitability documentation
-Keeping up to date with FCA rules, guidance, and industry developments, and ensuring regulatory changes (including Consumer Duty) are embedded
-Assisting with regulatory and compliance requirements, including PI renewals, FCA/Gabriel returns, and other regulatory submissions as required
-Supporting ongoing improvements to compliance processes, documentation, and controls across the business


Candidate Attributes:
-Previous experience in a compliance role within financial services
-Friendly, organised and dependable
-Excellent administration capabilities
-Written and verbal communication skills
-Professional and discreet when handling sensitive information
-Strong IT skills, specifically in MS Office - Word, Excel and Outlook


Hours: 25 to 30 hours per week, office based - flexible working pattern


Salary: Negotiable depending on experience + company pension + free onsite parking