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Job Description

Financial Planning Compliance Officer\n\nLocation: Liverpool City Centre\nHours: Monday-Friday, 9am-5pm (35 hours per week)\nContract: Permanent, Full Time\nSalary: Dependent on experience\nEssential: Level 4 Diploma in Financial Planning (or equivalent) \n\nAre you an experienced Financial Services professional with a Level 4 Diploma in Financial Planning and a strong knowledge of investments, pensions and UK regulation?\n\nThis 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.\n\nThese roles are ideal for applicants with backgrounds in:\n\nFinancial Advising / Strategic Planning\nAdviser Team Management within banking\nParaplanning\nFile checking / quality assurance\nInvestment & pensions compliance\nIndividuals from high street banks such as HSBC, NatWest, Halifax, Santander, etc.What a Typical Day Might Look Like:\n\nReviewing the incoming queue of cases and selecting those requiring attention\nConducting detailed case assessments and grading findings\nProviding feedback to Financial Planners\nUndertaking routine monitoring tasks\nSigning off promotional/educational materials\nResponding to internal compliance queries\nCompleting AML tasks\nListening to adviser calls for quality and compliance checkingWhat We're Looking For\n\nLevel 4 Diploma in Financial Planning or equivalent (Essential)\nExperience in pensions, investments and regulated advice\nStrong analytical and problem‑solving skills\nPractical file‑checking exposure (either formally or informally)\nSolid understanding of the UK regulatory landscape, including the FCA Handbook\nHigh attention to detail with a thorough, organised approach\nAbility to work under deadlines while remaining flexible and proactive\nConfident using MS Office and adapting to multiple systems\nA collaborative and supportive team playerWhat's on Offer:\n\nA dynamic role with genuine impact on the business's compliance framework.\nOpportunity to work with senior leadership and contribute to strategic improvements.\nCentrally located office in Liverpool with excellent transport links.\nSupportive team environment with strong focus on professional development.\nRegular staff events\n25 days holiday\nCycle to work scheme\n+ much more! \n\nSearch is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their , sex, disability, /beliefs, or

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