Financial Planning Compliance Officer

Financial Planning Compliance Officer

Location: Liverpool City Centre
Hours: Monday-Friday, 9am-5pm (35 hours per week)
Contract: Permanent, Full Time
Salary: Dependent on experience
Essential: Level 4 Diploma in Financial Planning (or equivalent)

Are you an experienced Financial Services professional with a Level 4 Diploma in Financial Planning and a strong knowledge of investments, pensions and UK regulation?

This is an excellent opportunity to join a supportive and growing team in Liverpool City Centre, working as part of an established compliance function as a File Reviewer.

These roles are ideal for applicants with backgrounds in:

Financial Advising / Strategic Planning
Adviser Team Management within banking
Paraplanning
File checking / quality assurance
Investment & pensions compliance
Individuals from high street banks such as HSBC, NatWest, Halifax, Santander, etc.What a Typical Day Might Look Like:

Reviewing the incoming queue of cases and selecting those requiring attention
Conducting detailed case assessments and grading findings
Providing feedback to Financial Planners
Undertaking routine monitoring tasks
Signing off promotional/educational materials
Responding to internal compliance queries
Completing AML tasks
Listening to adviser calls for quality and compliance checkingWhat We're Looking For

Level 4 Diploma in Financial Planning or equivalent (Essential)
Experience in pensions, investments and regulated advice
Strong analytical and problem‑solving skills
Practical file‑checking exposure (either formally or informally)
Solid understanding of the UK regulatory landscape, including the FCA Handbook
High attention to detail with a thorough, organised approach
Ability to work under deadlines while remaining flexible and proactive
Confident using MS Office and adapting to multiple systems
A collaborative and supportive team playerWhat's on Offer:

A dynamic role with genuine impact on the business's compliance framework.
Opportunity to work with senior leadership and contribute to strategic improvements.
Centrally located office in Liverpool with excellent transport links.
Supportive team environment with strong focus on professional development.
Regular staff events
25 days holiday
Cycle to work scheme
+ much more!

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age