Compliance Analyst

A growing and well-established Financial Planning business is looking to appoint a Compliance and Quality Assurance Analyst to join its team in Bath. This is an excellent opportunity for an experienced Compliance professional, or a technically strong Paraplanner looking to transition into a compliance career, who is looking for a varied role with genuine scope for progression. The position will work closely with Financial Planners, Paraplanners and the wider business, providing day-to-day compliance and quality assurance support across the firm. The Role: Working closely with the wider team, you will help maintain high standards of advice quality, regulatory compliance and client outcomes. Your responsibilities will include: Conducting pre-sale and post-sale file reviews and quality assurance checks Reviewing suitability reports, advice files and client documentation Providing compliance support and constructive challenge to Financial Planners and Paraplanners Supporting AML processes, including Source of Wealth and Source of Funds checks Monitoring advice quality and identifying recurring issues or areas for improvement Supporting Consumer Duty monitoring and assessment of client outcomes Maintaining compliance registers, breaches and incident records Supporting complaints monitoring and root cause analysis Assisting with regulatory monitoring and internal governance reporting Contributing to the development and improvement of compliance processes and controls About You: ..... full job details .....