IFA Compliance & Business Risk Associate

About the role

This position sits at the heart of a Chartered Financial Planning firm's regulatory compliance framework, supporting both its wealth management and discretionary investment businesses. Working hybrid with one day per week in the office, you will report directly to the Group Head of Business Risk.

Key responsibilities

• Take ownership of the firm’s Training & Competence (T&C) Scheme, ensuring FCA requirements are met and internal standards are maintained.
• Develop and maintain T&C monitoring processes, review advice files and competency records, and provide management information.
• Supervise Chartered investment advisers through regular monitoring, training and support.
• Support day‑to‑day risk activities across both business lines, including policy maintenance, register updates and financial promotion reviews.
• Identify and implement improvements to systems, controls and operational efficiency.

Required profile

• Proactive, organised and forward‑thinking individual.
• Comfortable working independently while managing a varied workload.
• Driving licence essential.
• Willingness to work hybrid, attending the office once a week.

Required skills

What we offer

• Competitive salary up to £40,000 per year.
• Hybrid working model.
• Opportunity to develop expertise in financial services compliance and risk.