Operations Administrator

Operations Executive/Oversight Administrator Bristol | Hybrid Working £30,000- £35,000 + bonus & strong benefits We’re working with a growing financial planning network who are looking to appoint an AR Oversight Associate to join their Adviser Oversight / Onboarding team. This is a key role supporting the firm’s compliance and governance framework, with responsibility for adviser and firm-level checks, SM&CR requirements, and ongoing regulatory due diligence. It’s well suited to someone with compliance administration experience in financial services who enjoys detail-driven work in a structured, regulated environment. The Role You’ll support adviser oversight, onboarding and certification activity, including: Firm-level responsibilities • Carrying out due diligence checks for Appointed Representatives • Managing DBS requests and adverse credit checks • Gathering, reviewing and chasing required firm documentation • Conducting sanctions and negative media checks on firms, directors and controllers • Verifying directorships and regulatory information • Issuing and following up regulatory reference requests Individual-level responsibilities • Managing initial and annual certification checks for certified staff • Maintaining accurate records across internal systems and the FCA Directory • Tracking SPS renewals and liaising with advisers ahead of expiry • Issuing and reviewing Fitness & Propriety questionnaires • Checking qualifications, CPD and compliance evidence • Supporting learning and training enrolment via LMS platforms Governance & policy • Supporting the maintenance of compliance policies and procedures • Ensuring individuals are appropriately certified for their regulated activities About You To be successful in this role, you’ll ideally have: • Experience in a compliance or adviser oversight role within financial services • A solid understanding of SM&CR and FCA regulatory requirements • Strong organisational skills and excellent attention to detail • The ability to manage multiple priorities and deadlines • Confident written and verbal communication skills • Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable) What’s on Offer • Salary of £33,000 • Bonus potential of up to 10% • 10% non-contributory pension • Private medical insurance • Life assurance (8x salary) • Supportive team environment with exposure to core compliance and governance activity If you’re looking to build or continue a career in adviser oversight, compliance and regulatory governance, this is an excellent opportunity within a well-structured and growing organisation. Get in touch to apply or find out more.