Compliance & QA Analyst — Path to Senior Leadership

NIGEL JAMES ASSOCIATES LTD; Bath; On-site; GBP 42,000 - 62,000; Full time

Job summary

NIGEL JAMES ASSOCIATES LTD in Bath is seeking a Compliance & Quality Assurance Analyst to join its growing Financial Planning team. You will work with Financial Planners and Paraplanners to uphold high standards of advice quality and regulatory compliance.

The role covers file reviews, AML checks, Consumer Duty monitoring and governance reporting, with real scope for progression into a senior compliance position as the firm grows.

Qualifications

• Experience in compliance, quality assurance, or paraplanning within IFA/Wealth Mgmt.
• Strong knowledge of FCA requirements and the financial advice process.
• Excellent attention to detail and organisational skills.
• Ability to provide constructive challenge and stakeholder management.

Responsibilities

• Conduct pre-sale and post-sale file reviews and QA checks.
• Review suitability reports, advice files and client documentation.
• Provide compliance support and constructive challenge to Financial Planners and Paraplanners.
• Support AML processes including Source of Wealth and Source of Funds checks.
• Monitor advice quality and identify recurring issues.
• Support Consumer Duty monitoring and assessment of client outcomes.
• Maintain compliance registers, breaches and incident records.
• Support complaints monitoring and root cause analysis.
• Assist with regulatory monitoring and governance reporting.
• Contribute to development and improvement of compliance processes and controls.

Skills

Compliance

Quality assurance

File checking

Paraplanning background

FCA requirements

Attention to detail

Organisational skills

Stakeholder management

Education

Financial services experience (IFAs/Wealth Mgmt)

Job description

NIGEL JAMES ASSOCIATES LTD in Bath is seeking a Compliance & Quality Assurance Analyst to join its growing Financial Planning team. You will work with Financial Planners and Paraplanners to uphold high standards of advice quality and regulatory compliance.

The role covers file reviews, AML checks, Consumer Duty monitoring and governance reporting, with real scope for progression into a senior compliance position as the firm grows.