Senior Compliance Monitoring Executive
Senior Compliance Monitoring ExecutiveLocation: Canterbury (Hybrid Working)Job Type: Full-time, PermanentSalary: £40,000 – £50,000 (dependent on experience)About the RoleWe are seeking a highly motivated and detail-oriented Senior Compliance Monitoring Executive to join the Technical & Quality Assurance team.This is a first-line advice quality role, focused specifically on the Financial Planning process. You will be responsible for reviewing and assessing suitability reports and technical research, ensuring the highest standards of advice quality and regulatory compliance are maintained.Importantly, this is not a generalist compliance position. The role centres on reviewing the work of Paraplanners and Financial Planners, making it particularly well suited to an experienced Paraplanner or Senior Paraplanner looking to move into a more technical, supervisory, or quality-focused position.If you are passionate about delivering high-quality financial planning and want to focus on improving advice standards rather than broader compliance oversight, this could be the ideal next step.Key ResponsibilitiesAdvice Quality Assurance (Financial Planning Focus)Conduct detailed quality assurance checks on suitability reports and technical research produced by ParaplannersEnsure advice is technically accurate, suitable, and aligned to client objectivesReview complex cases including pension transfers and higher-risk products such as VCTsEnsure advice meets FCA requirements and internal standardsMeet agreed service level agreementsQuality Monitoring & ImprovementIdentify trends in advice quality and technical standardsClearly document findings and areas for improvementProvide structured, constructive feedback to Paraplanners and Financial PlannersSupport the ongoing development of the Financial Planning teamReporting & InsightsProduce regular reports on advice quality findingsProvide meaningful insight into areas for technical improvementSupport continuous enhancement of the financial planning processCollaborationWork closely with Compliance, Training & Competence Supervisors, and advisory teamsContribute to improving technical standards and consistency across the businessSupport a culture of high-quality financial planning and client-centric adviceAbout YouExperienceMinimum 5 years’ experience in a Paraplanning, Senior Paraplanning, Quality Assurance or Report Writing role (essential)Experience within an FCA-regulated financial services firmMust be at least Diploma qualified (Level 4)Working towards or willing to progress to Advanced Diploma (desirable)This role would particularly suit a Paraplanner or Senior Paraplanner looking to transition into a more technical review, oversight, or supervisory position.Skills & KnowledgeStrong understanding of the Financial Planning process and retail investment productsExperience reviewing complex pension and investment recommendationsExperience with Intelliflo (desirable, training provided)Proficient in Microsoft OfficeExcellent attention to detail and technical accuracyStrong organisational and time management skillsClear and confident written and verbal communication skillsAbility to provide constructive technical feedbackWhat’s on OfferSalary £40,000 – £50,000 (dependent on experience)26 days annual leave plus bank holidays5% employer pension contributionOccupational sick payMedical cashback planDeath in service coverAdditional voluntary benefitsHybrid working modelSupport for continued professional developmentThis is an excellent opportunity for a technically strong Financial Planning professional to step into a quality-focused role where you can influence advice standards, mentor colleagues, and help shape best practice across the business.Apply now to progress your Financial Planning career in a more strategic, oversight-focused direction.
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