Compliance Officer

Liverpool, Merseyside

Salary: Dependant on experience

Are you an experienced compliance professional with a strong background in investments and pensions? This is an exciting opportunity to join a leading financial services firm in Liverpool as a Compliance Officer.

The Role

You’ll be part of the compliance and governance team, ensuring the business meets FCA, HMRC and ICO requirements. Day-to-day, you’ll:

• Review adviser files, checking recommendations for suitability.
• Support Strategic Planners and back-office teams with compliance queries.
• Deliver the Compliance Monitoring Plan and report findings to senior management.
• Sign off marketing and educational materials in line with FCA rules.
• Carry out AML checks, peer reviews, and call monitoring to ensure the right advice is being given.

About You

• Strong analytical and problem-solving skills.
• Ideally passed the Diploma in Financial Planning qualification
• Proven file checking experience within financial services.
• Background in investments/pensions essential.
• Ideal candidates may come from compliance, IFA firms, or bank, Financial Adviser used to checking cases.

What’s on Offer

• Salary (depending on experience).
• Excellent benefits package.
• Permanent role within a supportive and professional business.

Apply today for this fantastic compliance job opportunity in Liverpool and take the next step in your compliance career!