Operations Executive – Adviser Oversight (Hybrid)

About the role

We are partnering with a growing financial planning network to recruit an Operations Executive to join the Adviser Oversight and Onboarding team in Bristol. The role is hybrid and focuses on supporting the firm’s compliance and governance framework through detailed adviser and firm level checks.

Key responsibilities

• Carry out due‑diligence checks for appointed representatives and manage DBS and adverse credit requests.
• Gather, review and chase required firm documentation, including sanctions and negative media checks on firms, directors and controllers.
• Verify directorships, regulatory information and issue follow‑up regulatory reference requests.
• Manage initial and annual certification checks for staff, maintain records in internal systems and the FCA Directory.
• Track SPS renewals, liaise with advisers before expiry and issue Fitness & Propriety questionnaires.
• Check qualifications, CPD and compliance evidence, and support learning enrolment via LMS platforms.
• Assist in maintaining compliance policies and procedures and ensure individuals are correctly certified for regulated activities.

Required profile

• Experience in a compliance or adviser oversight role within financial services.
• Solid understanding of SM&CR and FCA regulatory requirements.
• Strong organisational skills with excellent attention to detail.
• Ability to manage multiple priorities and meet deadlines.
• Confident written and verbal communication skills.
• Experience with compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable).

Required skills

• Smartsearch
• uCheck
• Creditsafe
• LMS platforms

What we offer

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