Financial Planning Compliance Officer

Financial Planning Compliance Officer

Calton, Edinburgh, Scotland, United Kingdom

Job Summary

We are seeking a diligent and detail‑oriented Compliance Officer to oversee and ensure adherence to regulatory standards within a growing Financial Planning firm. The successful candidate will play a vital role in maintaining the integrity of our operations by implementing effective compliance management strategies, conducting internal audits, and ensuring all activities align with Financial Conduct Authority (FCA) regulations. This role offers an excellent opportunity for professionals with a strong background in regulatory reporting and compliance to contribute to our ongoing success.

The Role

Reporting to the CEO, the Compliance Officer (CO) will take responsibility for coordinating and liaising with our out‑of‑house Compliance Resource. This role does not include SMF responsibilities.

As Compliance Officer, you will possess a full understanding of the key compliance risks across the Financial Planning and Investment Management business, and work in collaboration with the Board & Executive Team to coordinate and align responsibilities. You will ensure that regulatory requirements are clearly defined and implemented in a proportionate and cost‑effective manner. Managing a positive relationship with the regulator is a key part of this role.

Responsibilities

• Ensure compliant advice & sales procedures are in place for all business areas and ensure these are followed.
• Identify and help address any risks to the firm and its clients.
• Promote a compliant and best‑practice culture to help meet the firm's Consumer Duty obligations.
• Ensure all SM&CR requirements are met and maintain accurate and up‑to‑date supporting documentation.
• Complete tasks allocated under the firm's documented compliance framework.
• Ensure all employees/self‑employed individuals meet and maintain FCA competency requirements.
• Regularly review & audit client files and maintain adequate record‑keeping ensuring remedial actions are completed.
• Monitor and audit the firm’s T&C records, ensuring any gaps or remedial work are followed up, actioned and addressed.
• Coach & develop junior Financial Planners to attain competency, including observations.
• Ensure the firm's FS Register content remains accurate and up to date. Also ensure that all FCA reporting requirements are met.
• Prepare compliance and risk management MI and present to the Board on a quarterly basis.
• Provide regular compliance and regulatory updates to the business. Complete a review and update of all relevant processes and procedures on at least an annual basis.

Experience

• Proven experience in compliance management within the financial planning sector.
• Strong background in relevant principles and practices.
• Demonstrated expertise in conducting internal audits and managing regulatory reporting processes.
• Familiarity with relevant legislation, including FCA regulations and industry standards.
• Excellent organisational skills with the ability to analyse complex information critically.
• Effective communication skills for liaising with internal teams and external regulators.
• Professional qualification or certification in compliance, auditing, or related fields is desirable but not essential.
• This role is ideal for a proactive professional committed to upholding the highest standards of integrity and regulatory adherence within a dynamic organisational environment.

Location and Commitments

• Permanent part‑time role – 3 days per week with flexibility on which days are worked.
• Flexible working, however, a minimum 2 days per week in the Edinburgh office required.
• Edinburgh‑based, although travel for work may be required.

Salary and Benefits

Attractive package: details available on request.

Seniority level

Mid‑Senior level

Employment type

Part‑time

Job function

Legal

#J-18808-Ljbffr