Operations Executive

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

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• Carrying out due diligence checks for Appointed Representatives
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• Managing DBS requests and adverse credit checks
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• Gathering, reviewing and chasing required firm documentation
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• Conducting sanctions and negative media checks on firms, directors and controllers
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• Verifying directorships and regulatory information
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• Issuing and following up regulatory reference requests
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Individual-level responsibilities

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• Managing initial and annual certification checks for certified staff
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• Maintaining accurate records across internal systems and the FCA Directory
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• Tracking SPS renewals and liaising with advisers ahead of expiry
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• Issuing and reviewing Fitness & Propriety questionnaires
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• Checking qualifications, CPD and compliance evidence
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• Supporting learning and training enrolment via LMS platforms
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Governance & policy

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• Supporting the maintenance of compliance policies and procedures
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• Ensuring individuals are appropriately certified for their regulated activities
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About You

To be successful in this role, you’ll ideally have:

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• Experience in a compliance or adviser oversight role within financial services
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• A solid understanding of SM&CR and FCA regulatory requirements
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• Strong organisational skills and excellent attention to detail
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• The ability to manage multiple priorities and deadlines
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• Confident written and verbal communication skills
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• Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable)
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What’s on Offer

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• Salary of £33,000
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• Bonus potential of up to 10%
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• 10% non-contributory pension
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• Private medical insurance
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• Life assurance (8x salary)
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• Supportive team environment with exposure to core compliance and governance activity
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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.