Financial Services Compliance Officer
Apply below after reading through all the details and supporting information regarding this job opportunity.
Location: Holmes Chapel, CheshireHours: Monday-Friday, 8:30am-5pmWorking Pattern: Office-based initially, hybrid once trainedSalary: Up to 40,000 (DOE) + annual bonus
A New Opportunity for Compliance Professionals Across Financial Services
Are you working in Compliance within banking, insurance, financial planning, or another regulated financial services environment, and looking for a role where your expertise really matters?
This is an excellent opportunity to join a long-established, respected Independent Financial Planning firm with a strong reputation for quality, integrity, and putting clients first. The business supports a specialist, loyal client base and has grown steadily through expert advice and exceptional service.
Due to an internal promotion and an upcoming retirement, the firm is seeking a Compliance Officer to work closely with their experienced Compliance team and help maintain robust standards across the business. If you enjoy a role where accuracy, sound judgement, and regulatory understanding are valued, you’ll feel right at home here.
Key Responsibilities
- Conducting file checks and suitability reviews
- Supporting the advice team with regulatory guidance
- Monitoring and maintaining compliance policies and procedures
- Assisting with internal audits and regulatory reporting
- Helping the business keep pace with FCA updates and thematic reviews
- Contributing to a culture that prioritises excellent client outcomes
Ideal Candidate Profile
- Experience in retail banking compliance
- Experience in insurance compliance
- Experience in wealth management or financial planning compliance
- Experience in mortgages, protection, or financial advice oversight
- Experience in paraplanning or advisory roles with strong regulatory exposure
You’ll Bring
- Strong understanding of FCA frameworks and regulated environments
- Exceptional attention to detail and accuracy
- Confident, clear written and verbal communication
- Strong organisational skills and the ability to prioritise workload
- A collaborative, proactive mindset
Qualifications
- Ideally, a Level 3 Financial Services qualification (or working towards)
- Compliance‑related xwzovoh study or CPD from banking/insurance backgrounds is also welcome
- Experience and attitude are equally important.
What’s in It for You?
- Salary up to 40,000, depending on experience
- Hybrid working after training/probation
- A supportive, collaborative team with low turnover
- Clear development opportunities within a growing compliance function
- The stability of joining a well‑established, highly reputable IFA firm
- A role where your compliance expertise genuinely shapes client outcomes
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.
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