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Permanent

Senior Compliance Monitoring Executive

Canterbury
money-bag 40000.00-40000.00 Annual
3085440224
Posted Yesterday

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 and 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 ..... full job details .....

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