Compliance Administrator - Financial Planning (Hybrid)

Our client, a well-established and growing Independent Financial Planning firm, is seeking a Compliance Administrator to join their team. This is an excellent opportunity for someone with experience within the Financial Planning industry who is looking to develop their career within compliance and regulation.

The successful candidate will support the Compliance Manager and wider Compliance function in delivering a high-quality, efficient and compliant service across the business.

Key Responsibilities • Support the Compliance Manager and wider team with day-to-day compliance activities

• Conduct risk assessments to identify and evaluate compliance risks


• Monitor adherence to regulatory requirements, internal policies and industry best practice


• Assist with quarterly adviser 1:1 meetings, including KPI reviews


• Support file checking activities and provide feedback to advisers


• Assist with adviser observations and competency assessments


• Support annual FIT assessments, competency testing and Training & Competence plans


• Ensure adherence to Conduct Rules and ongoing training requirements


• Attend and assist with Risk Committee meetings


• Assist in the completion of annual compliance and Money Laundering reports


• Maintain and update company policies and procedures to ensure they remain compliant and fit for purpose


• Support preparations for annual compliance audits and follow-up actions


• Assist with complaints handling and root cause analysis


• Support Consumer Duty attestation processes

Skills & Experience Required • Previous experience within the Independent Financial Planning industry is essential

• Strong analytical and problem-solving skills


• Ability to interpret information quickly and accurately


• Excellent organisational skills with the ability to prioritise workloads effectively


• Strong attention to detail


• Ability to work collaboratively within a team environment


• Good understanding of systems, processes and regulatory frameworks


• Professional, dependable and adaptable approach


• High levels of integrity and personal accountability


• Enthusiastic with a positive attitude toward learning and development

What’s on Offer • Opportunity to join a supportive and professional organisation

• Career development within a growing compliance function


• Exposure to a broad range of compliance activities within Financial Services


• Collaborative and team-focused working environment

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