Compliance Monitoring Executive

A well-established and growing financial planning firm is seeking to appoint a Senior Compliance Monitoring Executive to join their team based in Canterbury.

This is an excellent opportunity for a Diploma-qualified professional with strong experience within financial planning or paraplanning who is looking to move into a more technical and supervisory compliance role. The firm is particularly interested in speaking with experienced paraplanners or senior paraplanners who are keen to transition into compliance while remaining closely connected to the financial planning process.

The Role

The successful candidate will play a key role in supporting the firm's compliance monitoring programme. A core aspect of the position will involve reviewing and monitoring the work of paraplanners and advisers, ensuring files meet regulatory standards and internal quality expectations.

Key Responsibilities

• Conduct compliance monitoring reviews of client files and documentation
• Review and assess paraplanning work to ensure regulatory and internal standards are met
• Provide feedback and guidance to paraplanners and advisers where required
• Support the development and improvement of internal compliance procedures
• Assist with regulatory monitoring and reporting requirements
• Work closely with the wider financial planning and compliance teams

Candidate Requirements

• Diploma qualified (Level 4) or working towards completion
• Strong experience within financial planning, paraplanning, or technical support roles
• Good understanding of UK financial services regulation and suitability requirements
• Strong analytical skills and excellent attention to detail
• Ability to communicate feedback clearly and support colleagues in maintaining high standards

Interest in developing a longer-term career within compliance

What's on Offer

• Salary of £40,000 - £50,000 depending on experience
• Hybrid working arrangements
• Discretionary bonus
• Competitive benefits package
• Opportunity to join a growing and supportive business environment

If you are a technical paraplanner or financial planning professional looking to move into a compliance-focused role, this could be an excellent next step in your career.