Compliance Officer

NJR Recruitment; East Midlands; Hybrid; GBP 35,000 - 45,000; Full time

Job summary

A reputable financial planning firm in the East Midlands is seeking a Compliance Officer to ensure compliance with regulatory requirements and internal policies. This role involves coordinating compliance activities and overseeing file reviews to maintain high standards of ethical advice. Ideal candidates will have experience in compliance within the financial services sector and strong organizational skills. The position is hybrid and offers a dynamic work environment.

Qualifications

• Up-to-date knowledge of compliance requirements in financial services.
• Ability to implement policies and procedures effectively.
• Strong attention to detail and organizational skills.

Responsibilities

• Maintain knowledge of compliance requirements.
• Coordinate internal application of policies and updates.
• Oversee advice file reviews in accordance with network expectations.

Job description

Compliance Officer

Leicester (Hybrid)

We are proud to be representing a credible firm of Independent Financial Planners who are a very well-established, FCA-regulated financial planning firm offering over 36 years of experience delivering tailored advice to both private and corporate clients. As part of a major national network, they offer expert, unbiased guidance across pensions, investments, estate planning, inheritance tax, and mortgages. Built on values of nurturing relationships, navigating futures, client-centred excellence, and thriving together—they're committed to high standards, collaborative culture, and continued growth.

The Compliance Officer will work closely with the Financial Planning Director and Operations Director to help ensure policies, procedures, communications and adviser activities reflect both network expectations and our internal commitment to professional, ethical advice.

Key Responsibilities

• Maintain up-to-date knowledge of Openwork’s compliance requirements and ensure these are implemented across the firm.
• Coordinate the internal application of Openwork’s policies and updates, including those specifically relating to documentation, communications, file checks, and complaints.
• Oversee advice file reviews in accordance with network expectations and follow up on remedial actions.
• Support Openwork’s complaint hand...