Financial Compliance Officer

Financial Compliance Officer

Salary: 40,000 to 50,000 per annum

Hours: 36.25 hours per week, Monday to Friday (including 1 hour 15 minute break)
Location: Canterbury

We are working with a well established, award winning Independent Financial Planning and Wealth Management firm seeking a Financial Compliance Officer to join their Technical & Quality Assurance team.

You will be responsible for first line monitoring and quality assurance of financial planning advice. You will ensure suitability reports and technical research meet defined quality standards and FCA regulatory requirements, while helping to mitigate business risk.

Key Responsibilities

• Conduct detailed suitability report and technical file reviews
• Assess the suitability of advice, including complex pension transfers and higher-risk products (e.g. VCTs)
• Ensure advice is compliant, robust and supported by appropriate documentation
• Meet agreed service level agreements
• Identify trends, patterns and areas for improvement
• Clearly document findings and coordinate remedial actions
• Provide structured, constructive feedback to Financial Planners and advisory teams
• Produce regular management reports on file review outcomes
• Provide insight and trend analysis to enhance advice quality
• Ensure adherence to FCA regulations, industry standards and internal policies
• Support risk mitigation through proactive compliance monitoring
• Work closely with Compliance and Training & Competence teams

Essential Experience

• Minimum 5 years' experience in a quality assurance, financial planning and reporting writing
• Background within an FCA regulated financial services firm
• Diploma qualified, with willingness to progress to Advanced Diploma

Skills & Knowledge

• Strong understanding of the financial planning process and investment/pension products
• Experience reviewing complex advice cases
• High attention to detail and strong analytical skills
• Proficient in Microsoft Office (Intelliflo experience desirable)

Benefits

• 5% employer pension contribution
• 26 days annual leave plus bank holidays
• Occupational sick pay
• Medical cashback plan
• Death in service cover
• Additional voluntary benefits

Email: (url removed)

New Appointments Group, Expertly Matching Employers and Jobseekers since 1975.

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We are committed to fostering a diverse and inclusive environment in line with the Equality Act 2010. All qualified applicants will be considered regardless of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race, religion or belief, sex, or sexual orientation. New Appointments Group acts as an Employment Agency for permanent roles and as an Employment Business for temporary roles.

Please note: We can only accept applicants who have the full Right To Work in the UK and live within a 30 to 45 minute commute to Canterbury.