Job Description:

Financial Planning Compliance Officer

• Location: Liverpool City Centre
• Hours: Monday-Friday, 9am-5pm (35 hours per week)
• Contract: Permanent, Full Time
• Salary: Dependent on experience
• Essential: Level 4 Diploma in Financial Planning (or equivalent)

Are you an experienced Financial Services professional with a Level 4 Diploma in Financial Planning and a strong knowledge of investments, pensions and UK regulation?

This is an excellent opportunity to join a supportive and growing team in Liverpool City Centre, working as part of an established compliance function as a File Reviewer.

These roles are ideal for applicants with backgrounds in:

• Financial Advising / Strategic Planning
• Adviser Team Management within banking
• Paraplanning
• File checking / quality assurance
• Investment & pensions compliance
• Individuals from high street banks such as HSBC, NatWest, Halifax, Santander, etc.

What a Typical Day Might Look Like:

• Reviewing the incoming queue of cases and selecting those requiring attention
• Conducting detailed case assessments and grading findings
• Providing feedback to Financial Planners
• Undertaking routine monitoring tasks
• Signing off promotional/educational materials
• Responding to internal compliance queries
• Completing AML tasks
• Listening to adviser calls for quality and compliance checking

What We're Looking For

• Level 4 Diploma in Financial Planning or equivalent (Essential)
• Experience in pensions, investments and regulated advice
• Strong analytical and problem‑solving skills
• Practical file‑checking exposure (either formally or informally)
• Solid understanding of the UK regulatory landscape, including the FCA Handbook
• High attention to detail with a thorough, organised approach
• Ability to work under deadlines while remaining flexible and proactive
• Confident using MS Office and adapting to multiple systems
• A collaborative and supportive team player

What's on Offer:

• A dynamic role with genuine impact on the business's compliance framework.
• Opportunity to work with senior leadership and contribute to strategic improvements.
• Centrally located office in Liverpool with excellent transport links.
• Supportive team environment with strong focus on professional development.
• Regular staff events
• 25 days holiday
• Cycle to work scheme
• + much more!

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.