Compliance Specialist

Compliance, but not as you know it. We don't have a traditional compliance team. We have a Best Practice department, and the name isn't a gimmick. It reflects how we think: our job isn't to police the business, it's to make the advice we give better, the outcomes our clients get stronger, and the way we work simpler. We're an award-winning, independent Chartered Financial Planning firm with one purpose: making people's lives better. We're now looking for a Best Practice Associate to help us keep raising the bar. What you'll do: This is a varied, hands-on role at the centre of the business. You'll: • Conduct file and annual reviews to assess suitability of advice and adherence to regulatory requirements and internal policies. • Prepare KPI and management information, run pre-approval file checks, and carry out post-sale thematic reviews. • Work across the business, including Client Managers, Financial Planners, Investment, Marketing, and Finance, to embed Best Practice, Consumer Duty, and Treating Customers Fairly. • Review financial promotions (website, articles, blogs) to ensure they stay clear, fair, and not misleading in a changing regulatory landscape. • Handle complaints in line with regulatory guidelines and our standards. • Develop and update policies, procedures, and regulatory documentation, and challenge them where they no longer serve good outcomes. • Discuss financial strategies with Planners and Client Managers to ensure advice meets clients' objectives and circumstances. What we're looking for: • CII Level 4 Diploma in Financial Planning as a minimum, working towards Chartered status. Chartered (Level 6 Advanced Diploma) is highly desirable. • Strong working knowledge of the regulatory landscape, including Consumer Duty. • Sharp attention to detail with the confidence to challenge constructively. • A clear communicator who can land a message with any audience. Why join us: • Circa £55,000, dependent on experience, plus bonus. • Full support towards Chartered: study materials, exam fees, and paid study and exam leave covered. • Flexible working framework with hybrid working and flexible hours in line with business needs. • Generous annual leave, pension, death in service, income protection, and more. • A culture rooted in fun, collaboration, learning, and growth. We're serious about what we do without taking ourselves too seriously. We live by four values: Integrity, Growth, Simplicity, Excellence. If they sound like yours, we should talk.