Wealth Compliance Analyst / Supervisor

About the role

This position is based in Newcastle and offers the chance to join a growing financial services team. The successful candidate will play a pivotal role in ensuring compliance standards are met and will support advisors in delivering high‑quality service.

Key responsibilities

• Ensure client files comply with internal policies and regulatory standards.
• Provide day‑to‑day compliance support to financial advisors.
• Assist with training new hires on compliance processes and standards.
• Support the business and advisors with competency and compliance matters.

Required profile

• Strong experience in compliance or audit within the financial services sector.
• Level 4 qualification such as DipFA, DipPFS, or equivalent.
• Excellent stakeholder management and business partnering abilities.
• Familiarity with UK financial regulations and products.

Required skills

• Level 4 compliance qualifications (e.g., DipFA, DipPFS).