Senior Compliance Finance Executive

Hot new role!

Are you passionate about the finance sector? Great! Look no further

This is an opportunity to join a forward-thinking, highly respected financial services environment where your attention to detail and compliance expertise will directly influence client outcomes and business excellence.

Why this role stands out

You will be joining a collaborative, high-performing team that values precision, insight, and continuous improvement. This is not just a compliance role, it is a position where your voice matters, your feedback drives change, and your expertise enhances the standard of advice delivered to clients.

With hybrid working, strong benefits, and a culture built on development and innovation, this role offers both professional growth and work-life balance.

What you will be doing

You will take ownership of monitoring and improving advice quality across the business, ensuring the highest standards are consistently met.

Key responsibilities include:

• Conducting detailed quality assurance checks on suitability reports and technical research
• Ensuring all advice meets regulatory standards and internal compliance requirements
• Identifying trends, risks, and opportunities for improvement across advice provided
• Delivering clear, constructive feedback to Financial Planners and advisory teams
• Producing insightful reports with actionable recommendations
• Collaborating with compliance, training, and wider business teams to drive continuous improvement

What my client is looking for

This role will suit someone who thrives on accuracy, enjoys influencing standards, and takes pride in delivering excellence.

You will bring:

• Minimum 5 years experience within compliance monitoring, paraplanning, or report writing
• Background in an FCA-regulated financial services environment
• Level 4 Diploma qualified (or equivalent), with ambition to progress further
• Strong understanding of financial planning processes and products
• Excellent communication skills with the confidence to challenge and influence
• High attention to detail with strong organisational skills
• Legal right to work in the UK

Experience with Intelliflo is beneficial but not essential.

What is in it for you

• Hybrid working model for better flexibility
• 26 days holiday plus bank holidays
• 5% pension contribution
• Medical cashback plan
• Death in service cover
• Occupational sick pay
• Ongoing professional development and career progression opportunities

Sounds like the perfect role? Great! Don't miss out. Give Marcel Woodcock a call as soon as possible