Compliance Officer

Recruit UK; Poole; Remote; GBP 40,000 - 50,000; Full time

Job summary

A leading financial planning firm is seeking a Compliance professional to ensure adherence to FCA regulations while supporting financial planners. This role offers £40,000 - £50,000 salary, pension contributions, and professional growth opportunities. The position involves remote work with some office presence in Poole, emphasizing compliance reviews and technical support.

Benefits

Pension scheme (3% employer contribution)

Private medical insurance

25 days holiday + birthday off

Cycle to work scheme

Continuous professional growth opportunities

Qualifications

• 3–5 years’ experience in financial services compliance or as a Financial Planner.
• Diploma in Financial Planning or compliance qualifications desirable.
• Strong IT ability.

Responsibilities

• Carry out reviews and monitoring of advice provided by Financial Planners.
• Ensure compliance records are maintained accurately.
• Work with the Head of Compliance to operate in line with FCA regulations.
• Contribute to the collection, analysis, and reporting of Management Information.

Skills

Attention to detail

Organisational skills

Communication skills

Problem-solving

Education

Diploma in Financial Planning (R01–R05 or equivalent)

Job description

Job Role: Compliance

Location: Remote / Office-based (Poole)

Salary: £40,000 -£50,000

Reference: 9827

Are you an experienced compliance professional with a background in financial planning?

This is a fantastic opportunity to join a growing Chartered financial planning group in a newly created compliance role.

You’ll work closely with the Head of Compliance to ensure the business and its network of partner firms deliver advice that is fully compliant, client-focused, and in line with FCA requirements.

This position will give you exposure across all areas of compliance — from file reviews and technical support for advisers through to complaints handling, redress calculations, policy updates, and MI reporting. It’s a varied and rewarding role where you’ll play a key part in upholding high standards and driving good outcomes for clients.

Key Responsibilities:

• Carry out reviews and monitoring of advice provided by Financial Planners, Appointed Representatives, and partner firms, offering technical support where needed
• Ensure compliance records are maintained accurately and report any issues or breaches identified
• Work with the Head of Compliance to make sure the firm operates in line with FCA regulations and wider legislation
• Assist with reviewing, updating, and embedding compliance policies and processes across the business
• Contribute to the collection, analysis, and reporting of Management Information to senior stakeholders
• Monitor adherence to the FCA Handbook, Conduct Rules, and Consumer Duty requirements, ensuring the business consistently delivers good customer outcomes

What’s on offer:

• £40,000 - £50,000
• Pension scheme (3% employer contribution), private medical insurance & death in service cover
• 25 days holiday + your birthday off + bank holiday
• Cycle to work scheme
• Opportunities for continuous professional growth and development
• Work closely with a Chartered firm at the heart of a wider wealth management group

About you:

• 3–5 years’ experience in financial services compliance or as a Financial Planner
• Diploma in Financial Planning (R01–R05 or equivalent) or compliance qualifications desirable
• Excellent attention to detail and ability to meet deadlines
• Strong organisational skills and confident IT ability
• A proactive problem solver with strong communication skills

This role is mostly remote, but office presence ideally twice a week Poole, with occasional travel to partner firms.

If you’re ready to take on a varied compliance role with strong progression opportunities, apply today or get in touch to learn more.