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Regulatory Compliance Specialist Financial Services

Financial Compliance Lead – Advisory & Monitoring

Job in Liverpool, Merseyside, L1, England, UK
Listing for: Broster Buchanan
Full Time position
Listed on 2026-01-19
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A financial services firm in Liverpool is looking for a Compliance Officer to carry out detailed file reviews and ensure all documentation meets internal and regulatory standards. The role includes assessing adviser recommendations, handling complaints, and maintaining compliance with UK legislation. Candidates must hold a Level 4 Diploma in Financial Advisory and have a passion for operational excellence in financial compliance.
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