COMPLIANCE ASSOCIATE - KENT

We are seeking a Compliance Associate to support the review and oversight of client files, ensuring all advice meets regulatory standards and client needs.

Key Responsibilities:

• Conduct pre- and post-sale file reviews to ensure compliance and accuracy
• Assess suitability of financial recommendations in line with client objectives and risk profile
• Provide clear written feedback and identify remedial actions
• Escalate compliance issues, risks, and trends where necessary
• Support improvements to internal processes and procedures

Requirements:

• CII Level 4 Diploma (minimum); Chartered status desirable
• Strong understanding of the financial planning process
• Technical knowledge of investments, pensions, and taxation
• Minimum 3 years’ experience in compliance, file checking, or paraplanning within an IFA/wealth environment
• High attention to detail and strong communication skills
• Proficient in Microsoft Office (Intelligent Office knowledge beneficial)

Package:

Salary: £40,000 – £65,000 (depending on experience)
Pension scheme
Sick pay and death in service cover
Medical cashback plan
26 days holiday + bank holidays