Compliance Officer
Compliance Officer
Location: UK (Remote – WFH)
Hours: Part time 25 to 30 hours a week. Flexible working hours.
The Role
Due to continued business growth, we are looking for a Compliance Officer to join Fintuity and play a key role in supporting our regulatory and governance framework.
This is a fully remote role. You will work closely with the Head of IFA Proposition, Head of Advice, and our outsourced compliance partners to ensure the business continues to meet its regulatory obligations and maintain high standards of consumer outcomes.
The successful candidate will be responsible for the day-to-day delivery of compliance monitoring activities, adviser oversight, and governance reporting, while helping to embed a strong compliance culture across the business.
Key Responsibilities
The role is varied and will include:
- Delivery of the Compliance Monitoring Programme
- Scheduling and administration of file audits
- File audit reviews and scoring (Network and Acquisitions)
- Complaints management and oversight
- Breach identification, logging and management
- Maintenance of regulatory registers
- Monitoring adviser CPD records
- Verification and monitoring of Statement of Professional Standing (SPS) requirements
- Production of Consumer Duty management information and reporting
- Supporting adviser monitoring and competency oversight
- Background checks for new staff joining the company
- Preparation of governance and compliance reporting
- Liaising with internal stakeholders and outsourced compliance partners
- Assisting with the implementation of regulatory change and policy updates
As the business continues to grow, there will be opportunities to take on additional responsibilities and contribute to the development of our compliance framework.
What We Are Looking For
We are seeking an organised and proactive compliance professional who is comfortable working independently in a remote environment and has a strong understanding of FCA regulatory requirements within a financial planning business.
Key Skills
- Strong attention to detail
- Excellent organisational skills
- Analytical and objective mindset
- Ability to communicate effectively with advisers and senior stakeholders
- Strong written reporting skills
- Dependable and self-motivated
- Ability to manage multiple priorities and deadlines
- Comfortable working within a fast-paced and evolving business
Experience
- Previous compliance experience within a regulated financial planning, wealth management or advice firm (essential)
- Experience conducting file reviews and compliance monitoring activities (essential)
- Experience supporting Consumer Duty and governance reporting (preferred)
- Understanding of FCA regulations and adviser standards (essential)
Qualifications
- Relevant compliance qualification or willingness to work towards one (preferred)
- Level 4 Diploma in Financial Planning or equivalent (preferred)
- AF6 Senior Management and Supervision (desirable)
Benefits
- Competitive salary (pro rata) dependent on experience
- Pension scheme
- Continued professional development and support for relevant qualifications
- 25 days holiday allowance plus bank holidays
- Health plan (subject to one year's service)
- Death in service benefit (subject to one year's service)
About Fintuity
Fintuity is a trading name of Fintuity Limited, authorised and regulated by the Financial Conduct Authority. We combine innovative technology with high-quality financial planning to deliver an exceptional client experience.
As a growing FinTech business, we offer an opportunity to make a meaningful impact, work alongside experienced professionals, and develop your career within a forward-thinking organisation.
Note: The role is subject to background checks and compliance with FCA regulatory requirements.
