Senior Compliance Specialist

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Company Overview

The company is a UK-based independent financial advice firm, authorized directly under UK regulations. We deliver regulated financial planning and mortgage advice to UK-resident clients, emphasizing professionalism, compliance, and positive client outcomes.

Their advisers provide holistic solutions, including investments, pensions, tax planning, protection, and mortgages. While part of the wider group, the UK entity operates independently with its own governance and adheres to high regulatory standards.

Key Responsibilities

- Manage the Training & Competency scheme and support adviser development in investment and mortgage advice.

- Conduct file reviews, observations, and ongoing competency assessments.

- Oversee onboarding, supervision, and sign-off of advisers.

- Ensure ongoing compliance with SMCR and CPD requirements.

Qualifications and Experience

- Proven experience in a Training & Competency or compliance role within a UK IFA or wealth and mortgage firm.

- Strong knowledge of FCA regulations (COBS, SMCR, MCOB).

- CeMAP or similar qualification is desirable.

- Experience working with international advisers is a plus but not required.

- Excellent coaching, communication, and supervision skills.

- Competitive salary based on experience.

- Hybrid/remote working options.

- Collaborative and professional team environment.

- Opportunity to influence and shape training and competency processes within a growing business.

- Full support for industry qualification completion and career development within the company.

The company is committed to fostering a diverse and inclusive workplace and welcomes applications from all qualified candidates.

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Location:
United Kingdom
Salary:
£100,000 - £125,000
Job Type:
PartTime
Category:
Management & Operations