Compliance Assistant/File reviewer

Eden Rose; Poole; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A Chartered Financial Planning Firm is seeking a Compliance Assistant to ensure compliance with regulatory standards and support financial advice quality. The ideal candidate has 3–5 years of experience, a diploma in Financial Planning, and strong attention to detail. This permanent, full-time role offers a competitive salary, a pension scheme, and opportunities for professional growth in a hybrid work environment.

Benefits

Competitive salary

Pension scheme

Private Medical Insurance

25 days holiday + birthday holiday

Qualifications

• 3–5 years’ experience in a similar compliance role or as a Financial Planner.
• Strong knowledge of retail financial services compliance and advice.
• Excellent attention to detail and ability to work to deadlines.

Responsibilities

• Review and monitor advice provided by Financial Planners.
• Maintain compliance records and report issues.
• Support the Head of Compliance with regulatory adherence.

Skills

Experience in compliance or financial planning

Retail financial services knowledge

Attention to detail

Strong IT skills

Good communication skills

Education

Diploma in Financial Planning (R01–R05 or equivalent)

Tools

Microsoft Office

Job description

Compliance Assistant/File Checker

Company: Chartered Financial Planning Firm (South of England)

Location: Hybrid or office-based. Occasional travel required

Salary: Competitive, commensurate with experience

Contract: Permanent, full-time

About the Company

We are a Chartered financial planning firm providing holistic advice to individuals, households, trustees, and businesses across the UK.

Our services include:

• Investments (including Socially Responsible Investing)
• Business Financial Planning
• Retirement Planning
• Protection
• Mortgages and Equity Release

They are also the Principal firm for a number of Appointed Representatives within our wider group structure.

Role Overview

This is a newly created role, reporting directly to the Head of Compliance.

As Compliance Assistant, you will play a key role in ensuring the business and its Appointed Representatives operate in line with the FCA Handbook and Conduct Rules. Your focus will be on file reviews, monitoring advice quality, and supporting compliance standards across the group.

Key Responsibilities

• Review, assess, and monitor advice provided by Financial Planners and Appointed Representatives
• Provide technical support to advisers where required
• Maintain detailed and accurate compliance records, reporting any identified issues
• Support the Head of Compliance with regulatory adherence across the business
• Assist in reviewing, updating, and implementing compliance policies and process standards
• Assist in the resolution of complaints and Errors & Omissions (including redress calculations)
• Gather, record, and report relevant Management Information (MI)
• Monitor compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice, and other FCA rules
• Uphold Consumer Duty principles: act in good faith, avoid foreseeable harm, treat customers fairly, and support customers in achieving their financial objectives

Ideal Candidate

• 3–5 years’ experience in a similar compliance role, or as a Financial Planner
• Diploma in Financial Planning (R01–R05 or equivalent) and/or compliance qualifications (desirable)
• Strong knowledge of retail financial services compliance, advice, and file checking
• Excellent attention to detail and ability to work to deadlines
• Strong organisational skills and proactive approach to problem-solving
• Good communication skills with confidence working across teams
• Strong IT skills, including Microsoft Office

Benefits

• Competitive salary (commensurate with experience)
• Pension scheme (employer contribution)
• Death in Service cover
• Private Medical Insurance
• Cycle-to-work scheme
• 25 days holiday + 1 birthday holiday
• Opportunities for professional growth and development
• Collaboration opportunities with colleagues across a wider group network