Compliance Analyst - #2183671

️ Compliance Analyst

Manchester

c.£45,000+ Benefits

We're seeking a detail-oriented compliance professional to join a thriving financial planning business during an exciting period of growth and transformation.

This opportunity would suit someone already working within compliance, paraplanning, adviser support, file review, quality assurance, risk, or a similar regulated environment who is looking to build a long-term career within governance and regulatory oversight.

Working closely with experienced compliance professionals, you'll play an important role in helping the business maintain high standards of client outcomes, regulatory compliance and adviser support.

Role & Responsibilities:

• Conduct reviews of financial planning files to assess advice quality and regulatory suitability.
• Monitor adviser interactions and client communications to ensure appropriate standards are maintained.
• Assist with quality assurance and compliance monitoring activities.
• Identify risks, trends and areas for improvement across advice and operational processes.
• Support advisers, paraplanners and operational teams with regulatory guidance and compliance-related queries.
• Review customer vulnerability considerations and ensure appropriate support measures are being applied.
• Contribute to the development and enhancement of compliance frameworks, policies and procedures.
• Assist with regulatory projects, business change initiatives and compliance-led improvements.
• Produce reports and management information to support ongoing compliance monitoring activities.
• Help embed best practice across the business through coaching and constructive feedback.

Do you have the following to apply?

• Ideally Level 4 Diploma in Financial Planning qualified or studying towards
• Experience in a Compliance or Paraplanning role within a wealth management firm

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.