Compliance Specialist – Best Practice Associate

About the role

Join an award‑winning independent Chartered Financial Planning firm as a Compliance Specialist within the Best Practice department. You will help raise the standard of advice, improve client outcomes and simplify processes across the business.

Key responsibilities

• Conduct file and annual reviews to ensure advice suitability and regulatory compliance.
• Prepare KPI and management information, run pre‑approval checks and perform post‑sale thematic reviews.
• Collaborate with Client Managers, Financial Planners, Investment, Marketing and Finance teams to embed Best Practice, Consumer Duty and Treating Customers Fairly.
• Review financial promotions (website, articles, blogs) for clarity, fairness and compliance.
• Handle complaints in line with regulatory guidelines and internal standards.
• Develop, update and challenge policies, procedures and regulatory documentation.
• Discuss financial strategies with Planners and Client Managers to ensure advice meets client objectives.

Required profile

• CII Level 4 Diploma in Financial Planning (minimum) and working towards Chartered status; Chartered Level 6 Advanced Diploma is highly desirable.
• Strong knowledge of the regulatory landscape, including Consumer Duty.
• Excellent attention to detail and confidence to challenge constructively.
• Clear communicator able to convey messages to any audience.

Required skills

What we offer

• Salary up to £55,000 per year, plus bonus.
• Full support for Chartered qualification – study materials, exam fees and paid study/exam leave.
• Hybrid working with flexible hours.
• Generous annual leave, pension, death‑in‑service, income protection and other benefits.
• A fun, collaborative culture focused on integrity, growth, simplicity and excellence.