Compliance Assistant/File Checker

Poole | Hybrid /Office (occasional travel)
Full time, Permanent | Salary – £40,000-£50,000
 

About the Firm 

We are a Chartered financial planning firm, providing holistic advice to individuals, households, trustees, and businesses across the UK. We also act as Principal firm for a number of Appointed Representatives within our wider group.

Our services cover: Investments (including ESG/SRI), Business Financial Planning, Retirement Planning, Protection, Mortgages, and Equity Release.
 

Role Overview

This newly created role reports directly to the Head of Compliance. You will help ensure our advisers and Appointed Representatives meet FCA and Consumer Duty standards, with a particular focus on file reviews, advice quality, and compliance monitoring.

Key Responsibilities

• Review and monitor adviser and AR client files for quality and compliance

• Provide technical guidance to advisers where required

• Maintain accurate compliance records and report findings

• Support policy and process updates, including Consumer Duty implementation

• Assist with complaints, Errors & Omissions, and redress calculations

• Produce relevant MI and compliance reports

Ideal Candidate

• 3–5 years’ experience in compliance or financial planning

• Diploma in Financial Planning (R0 exams) and/or compliance qualification (desirable)

• Strong knowledge of retail financial services and FCA requirements

• High attention to detail, organised, and proactive

• Strong communication skills and confidence working with advisers

• Good IT skills (MS Office)

Benefits

• Competitive salary (commensurate with experience)

• Pension scheme with employer contribution

• Private Medical Insurance & Death in Service cover

• Cycle-to-work scheme

• 25 days holiday + birthday day off

• Ongoing professional development opportunities