Senior Compliance Monitoring Executive - Canterbury

Senior Compliance Monitoring Executive

Location: Canterbury (Hybrid Working)

Job Type: Full-time, Permanent

Salary: £40,000 – £50,000 (dependent on experience)

About the Role

We are seeking a highly motivated and detail-oriented Senior Compliance Monitoring Executive to join the Technical & Quality Assurance team.

This is a first-line advice quality role, focused specifically on the Financial Planning process. You will be responsible for reviewing and assessing suitability reports and technical research, ensuring the highest standards of advice quality and regulatory compliance are maintained.

Importantly, this is not a generalist compliance position. The role centres on reviewing the work of Paraplanners and Financial Planners, making it particularly well suited to an experienced Paraplanner or Senior Paraplanner looking to move into a more technical, supervisory, or quality-focused position.

If you are passionate about delivering high-quality financial planning and want to focus on improving advice standards rather than broader compliance oversight, this could be the ideal next step.

Key Responsibilities

Advice Quality Assurance (Financial Planning Focus)

• Conduct detailed quality assurance checks on suitability reports and technical research produced by Paraplanners
• Ensure advice is technically accurate, suitable, and aligned to client objectives
• Review complex cases including pension transfers and higher-risk products such as VCTs
• Ensure advice meets FCA requirements and internal standards
• Meet agreed service level agreements

Quality Monitoring & Improvement

• Identify trends in advice quality and technical standards
• Clearly document findings and areas for improvement
• Provide structured, constructive feedback to Paraplanners and Financial Planners
• Support the ongoing development of the Financial Planning team

Reporting & Insights

• Produce regular reports on advice quality findings
• Provide meaningful insight into areas for technical improvement
• Support continuous enhancement of the financial planning process

Collaboration

• Work closely with Compliance, Training & Competence Supervisors, and advisory teams
• Contribute to improving technical standards and consistency across the business
• Support a culture of high-quality financial planning and client-centric advice

About You

Experience

• Minimum 5 years’ experience in a Paraplanning, Senior Paraplanning, Quality Assurance or Report Writing role (essential)
• Experience within an FCA-regulated financial services firm
• Must be at least Diploma qualified (Level 4)
• Working towards or willing to progress to Advanced Diploma (desirable)

This role would particularly suit a Paraplanner or Senior Paraplanner looking to transition into a more technical review, oversight, or supervisory position.

Skills & Knowledge

• Strong understanding of the Financial Planning process and retail investment products
• Experience reviewing complex pension and investment recommendations
• Experience with Intelliflo (desirable, training provided)
• Proficient in Microsoft Office
• Excellent attention to detail and technical accuracy
• Strong organisational and time management skills
• Clear and confident written and verbal communication skills
• Ability to provide constructive technical feedback

What’s on Offer

• Salary £40,000 – £50,000 (dependent on experience)
• 26 days annual leave plus bank holidays
• 5% employer pension contribution
• Occupational sick pay
• Medical cashback plan
• Death in service cover
• Additional voluntary benefits
• Hybrid working model
• Support for continued professional development

This is an excellent opportunity for a technically strong Financial Planning professional to step into a quality-focused role where you can influence advice standards, mentor colleagues, and help shape best practice across the business.

Apply now to progress your Financial Planning career in a more strategic, oversight-focused direction.