Compliance Analyst

A growing and well-established Financial Planning business is looking to appoint a Compliance & Quality Assurance Analyst to join its team in Bath.

This is an excellent opportunity for an experienced Compliance professional, or a technically strong Paraplanner looking to transition into a compliance career, who is looking for a varied role with genuine scope for progression.

The position will work closely with Financial Planners, Paraplanners and the wider business, providing day-to-day compliance and quality assurance support across the firm.

The Role

Working closely with the wider team, you will help maintain high standards of advice quality, regulatory compliance and client outcomes.

Your responsibilities will include

Conducting pre-sale and post-sale file reviews and quality assurance checks

Reviewing suitability reports, advice files and client documentation

Providing compliance support and constructive challenge to Financial Planners and Paraplanners

Supporting AML processes, including Source of Wealth and Source of Funds checks

Monitoring advice quality and identifying recurring issues or areas for improvement

Supporting Consumer Duty monitoring and assessment of client outcomes

Maintaining compliance registers, breaches and incident records

Supporting complaints monitoring and root cause analysis

Assisting with regulatory monitoring and internal governance reporting

Contributing to the development and improvement of compliance processes and controls

About You

We are looking for someone with previous experience within an IFA, Financial Planning or Wealth Management environment.

You will ideally have

Experience in compliance, quality assurance, file checking or a Paraplanning background

A good understanding of FCA requirements and the financial advice process

Strong attention to detail and excellent organisational skills

The confidence to provide constructive challenge and feedback

Knowledge of AML requirements, including Source of Wealth and Source of Funds

A pragmatic and proportionate approach to compliance

Excellent communication and stakeholder management skills

A genuine interest in developing a long-term career within compliance

Paraplanners who are looking to make the move into compliance are also encouraged to apply. Formal compliance experience is not essential for the right individual if they have strong technical knowledge, attention to detail and a genuine interest in progressing into the compliance profession.

Why Join?

This is a fantastic opportunity to join a growing Financial Planning business where you can have a genuine influence on advice quality, compliance and client outcomes.

You'll benefit from

A varied compliance and quality assurance role

The opportunity to transition from Paraplanning into compliance

Exposure to a broad range of compliance and governance activities

Excellent opportunities for career development and progression

The potential to take on increasing responsibility as the business grows

The opportunity to develop into a senior position and ultimately take a lead role within the firm's compliance function

If you're an experienced Compliance professional or Paraplanner looking to take the next step in your career and build towards a future leadership role within compliance, we'd love to hear from you.