Financial Services Compliance Officer - Part Time

Overview

This is an excellent opportunity to join a supportive growing company who pride themselves on offering a first-class service to their clients and their staff too. Our client is a highly respected, privately owned financial advisory firm who provide market-leading wealth solutions. They currently have a vacancy for a Compliance Officer to join their team based in Highnam, Gloucester on an initial 6-month contract with the chance to become permanent for the right candidate.

This is a key role within the firm, working closely with Directors, advisers, paraplanners, and administrators to ensure the business continues to operate in line with FCA expectations and Consumer Duty requirements.

• Undertaking pre- and post-advice file checking, including the review of client files, suitability reports, and supporting documentation
• Supporting the firm's Training & Competency (T&C) framework
• Working collaboratively with advisers, paraplanners, and administrators to ensure cases are processed efficiently, consistently, and compliantly
• Providing technical oversight and guidance to the paraplanning team in relation to report writing and suitability documentation
• Keeping up to date with FCA rules, guidance, and industry developments, and ensuring regulatory changes (including Consumer Duty) are embedded
• Assisting with regulatory and compliance requirements, including PI renewals, FCA/Gabriel returns, and other regulatory submissions as required
• Supporting ongoing improvements to compliance processes, documentation, and controls across the business

• Previous experience in a compliance role within financial services
• Friendly, organised and dependable
• Excellent administration capabilities
• Written and verbal communication skills
• Professional and discreet when handling sensitive information
• Strong IT skills, specifically in MS Office - Word, Excel and Outlook

Hours:

20 to 25 hours per week, flexible working pattern

Salary:
Negotiable depending on experience + company pension + free onsite parking