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

• 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 schemeSick pay and death in service coverMedical cashback plan26 days holiday + bank holidays

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