Compliance Administrator - Financial Planning (Hybrid)

Our client, a well-established and growing Independent Financial Planning firm, is seeking a Compliance Administrator to join their team. This is an excellent opportunity for someone with experience within the Financial Planning industry who is looking to develop their career within compliance and regulation.The successful candidate will support the Compliance Manager and wider Compliance function in delivering a high-quality, efficient and compliant service across the business.Key ResponsibilitiesSupport the Compliance Manager and wider team with day-to-day compliance activitiesConduct risk assessments to identify and evaluate compliance risksMonitor adherence to regulatory requirements, internal policies and industry best practiceAssist with quarterly adviser 1:1 meetings, including KPI reviewsSupport file checking activities and provide feedback to advisersAssist with adviser observations and competency assessmentsSupport annual FIT assessments, competency testing and Training & Competence plansEnsure adherence to Conduct Rules and ongoing training requirementsAttend and assist with Risk Committee meetingsAssist in the completion of annual compliance and Money Laundering reportsMaintain and update company policies and procedures to ensure they remain compliant and fit for purposeSupport preparations for annual compliance audits and follow-up actionsAssist with complaints handling and root cause analysisSupport Consumer Duty attestation processesSkills & Experience RequiredPrevious experience within the Independent Financial Planning industry is essentialStrong analytical and problem-solving skillsAbility to interpret information quickly and accuratelyExcellent organisational skills with the ability to prioritise workloads effectivelyStrong attention to detailAbility to work collaboratively within a team environmentGood understanding of systems, processes and regulatory frameworksProfessional, dependable and adaptable approachHigh levels of integrity and personal accountabilityEnthusiastic with a positive attitude toward learning and developmentWhat's on OfferOpportunity to join a supportive and professional organisationCareer development within a growing compliance functionExposure to a broad range of compliance activities within Financial ServicesCollaborative and team-focused working environment