Compliance Specialist

Compliance, but not as you know it. We don''t have a traditional compliance team. We have a Best Practice department, and the name isn''t a gimmick. It reflects how we think: our job isn''t to police the business, it''s to make the advice we give better, the outcomes our clients get stronger, and the way we work simpler.We''re an award-winning, independent Chartered Financial Planning firm with one purpose: making people''s lives better. We''re now looking for a Best Practice Associate to help us keep raising the bar.What you''ll do:This is a varied, hands-on role at the centre of the business. You''ll:Conduct file and annual reviews to assess suitability of advice and adherence to regulatory requirements and internal policies.Prepare KPI and management information, run pre-approval file checks, and carry out post-sale thematic reviews.Work across the business, including Client Managers, Financial Planners, Investment, Marketing, and Finance, to embed Best Practice, Consumer Duty, and Treating Customers Fairly.Review financial promotions (website, articles, blogs) to ensure they stay clear, fair, and not misleading in a changing regulatory landscape.Handle complaints in line with regulatory guidelines and our standards.Develop and update policies, procedures, and regulatory documentation, and challenge them where they no longer serve good outcomes.Discuss financial strategies with Planners and Client Managers to ensure advice meets clients'' objectives and circumstances.What ..... full job details .....