About this role
Know how good financial advice should look?
Maybe you’ve been an adviser. Maybe you check files. Maybe you’re a paraplanner who understands the advice process inside out.
Either way, if you know what good advice looks like, and more importantly what can go wrong, this could be a very good next step.
You’ll join a small, experienced Compliance Monitoring team within a national financial services business, carrying out 2nd line oversight across the advice operation.
For someone currently working in advice or checking files, it’s a chance to broaden your experience, move into genuine 2nd line compliance monitoring and develop beyond individual cases.
You’ll get exposure to controls, regulation, adviser standards and wider business risk, while working directly with an experienced Compliance Monitoring Manager.
PACKAGE
The salary is TO £45,000, depending on experience, alongside a strong benefits package including:
25 days’ holiday, increasing to 28 with serviceEmployer pension contribution, increasing with length of service2 x salary life assurance24/7 GP and digital healthcare for you and your householdMedicash health cash planEmployee Assistance ProgrammeEnhanced maternity, paternity and adoption leavePaid sickness leaveSpecsavers eyecareCompany and team eventsFree on-site parking THE JOB
You’ll be reviewing how advice is being delivered, testing controls and identifying where processes, behaviours or outcomes need improving.
That means using your understanding of the advice journey, regulation and suitability to look beyond individual files and help the business maintain strong standards.
You’ll work directly with the Compliance Monitoring Manager as part of a team of four. The existing team includes people from both adviser and compliance monitoring backgrounds, so they’re open-minded about where you’ve come from.
HERE'S WHAT YOU'LL NEED
The key thing is that you understand the regulated advice process.
You might currently be: a Financial Advisera Mortgage Advisera File Checkeran Advice Quality Specialista Compliance Monitoring Officera Paraplanner with strong regulatory knowledge You don’t necessarily need previous 2nd line compliance experience. If you’ve worked close enough to advice to understand suitability, documentation, adviser responsibilities and where risks can emerge, they’re happy to consider you.
What won’t work is a background focused mainly on AML, KYC or financial crime without exposure to regulated advice.
-----------------------------------------------------------------------------------
Interested? Click apply and we'll tell you more.
If your CV isn't up to date, don't worry. Send us what you have and we'll get to the CV later.
Every will get a response.