Compliance Support Specialist

About the Company

Our client is a well-established and expanding financial planning business with an excellent reputation for delivering high-quality advice and outstanding client outcomes. Following continued growth, they are investing further in their compliance function as they transition towards a more proactive, commercially supportive approach to regulation and risk management. This is an opportunity to join a collaborative team where compliance is viewed as a trusted business partner rather than simply a regulatory function.

Role Summary

This newly created position offers the chance to become a key member of an evolving compliance team. Working closely with the Compliance Manager, you'll help strengthen governance, support advisers and operational teams, investigate complaints, analyse regulatory data and contribute towards continuous improvement across the business.

The role would suit someone who enjoys analysing information, solving problems and building strong working relationships across a business. There is genuine opportunity for long-term progression as the compliance function continues to develop.

Key Responsibilities

• Support complaints investigations and error management, helping deliver positive client outcomes.

• Produce management information and regulatory reporting to support senior leadership decision making.

• Analyse regulatory data, identify trends and recommend improvements to business processes.

• Assist with FCA reporting, regulatory returns and compliance monitoring activities.

• Work closely with advisers, paraplanners and operational teams, providing practical compliance support.

• Contribute towards training, horizon scanning and proactive compliance initiatives.

Requirements

• Previous experience within a regulated financial services environment.

• Strong analytical skills with excellent attention to detail.

• Experience handling complaints, regulatory reporting or compliance administration would be advantageous.

• Excellent written communication and report writing skills.

• Confident using Excel and Microsoft Office.

• Personable, collaborative and comfortable communicating across all levels of a business.

• Stable employment history demonstrating commitment and longevity.

If this role isn’t quite right, it’s still worth speaking to one of our specialist team — we may be working on something that hasn’t hit the market yet.

Related Job Titles

Compliance Officer, Compliance Analyst, Compliance Coordinator, Regulatory Support Specialist, Financial Services Compliance Executive