Compliance Specialist

Reed; Glasgow; On-site; GBP 38,000 - 42,000; Full time

Job summary

A respected independent financial advisory firm in Glasgow is seeking a Compliance Specialist to join their hybrid working team. The role involves monitoring compliance policies, conducting training, and reviewing client files. Ideal candidates will have a Level 4 Diploma in financial planning and 1-3 years of relevant experience. Competitive salary ranging from £38,000 to £42,000 plus excellent benefits is offered.

Benefits

Income protection

Critical illness cover

Life assurance

34 days holiday

Annual bonus

Employer pension contribution

Study support

Qualifications

• 1-3 years of experience in a compliance or regulatory role, ideally in pensions and investments.
• Familiarity with FCA requirements for investment advice and regulatory frameworks.
• Ability to prepare training materials on compliance topics.

Responsibilities

• Monitor and enforce internal compliance policies and procedures.
• Conduct training and monitoring 1-2-1s with advisers.
• Check client files pre- and post-sale, providing feedback.

Skills

Monitoring compliance policies

Conducting training and monitoring

Reviewing client files

Updating company policies

Investigating compliance concerns

Education

Level 4 Diploma in financial planning

Job description

Compliance Specialist Glasgow (Hybrid) £38,000 – £42,000 + excellent benefits

Join a respected, independent financial advisory firm with a strong reputation and a supportive, mid‑size team. This is a fantastic opportunity to develop your compliance career in a business that values integrity, professional growth, and long‑term client relationships.

You’ll enjoy a flexible hybrid working model, a generous benefits package including income protection, critical illness cover, life assurance, 34 days holiday, annual bonus, and a highly competitive employer pension contribution, as well as full study support to help you progress further.

What you’ll do

• Monitor and enforce internal compliance policies and procedures
• Conduct training and monitoring (T&C) 1‑2‑1s with advisers
• Check client files pre‑ and post‑sale, providing direct feedback to advisers
• Review and update company policies to reflect regulatory changes
• Support regulatory reporting through research and collation of compliance management information
• Investigate and resolve compliance concerns or breaches
• Maintain records of compliance activities
• Collaborate with advisers and administration teams to ensure cross‑functional compliance
• Prepare and deliver training materials to staff on compliance topics

What you’ll need

• Level 4 Diploma (or above) in financial planning
• 1–3 years’ experience in a compliance or regulatory role, ideally reviewing advice for pensions and investments
• Familiarity with FCA requirements for investment advice, and regulatory frameworks (e.g., FCA Handbook, GDPR, AML)

About the company

This is a well‑established, independent firm with a great reputation in the market. As a mid‑size business, they offer the best of both worlds: a collaborative, close‑knit team environment and the resources to support your professional development.

You’ll be joining a company that genuinely invests in its people and is committed to high standards of client care.

You’ll also benefit from a comprehensive package including income protection, critical illness cover, life assurance, 34 days holiday, annual bonus, generous employer pension contributions, and ongoing study support.

Progression & Training

You’ll have access to structured training, mentoring, and support for further professional qualifications—helping you take the next step in your compliance career.

‘Apply now’. Don’t worry if your CV isn’t up to date. Just send what you have and we can sort out the rest later.