Antony George Recruitment
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 we're looking for:
- CII Level 4 Diploma in Financial Planning as a minimum, working towards Chartered status. Chartered (Level 6 Advanced Diploma) is highly desirable.
- Strong working knowledge of the regulatory landscape, including Consumer Duty.
- Sharp attention to detail with the confidence to challenge constructively.
- A clear communicator who can land a message with any audience.
Why join us:
- Circa £55,000, dependent on experience, plus bonus.
- Full support towards Chartered: study materials, exam fees, and paid study and exam leave covered.
- Flexible working framework with hybrid working and flexible hours in line with business needs.
- Generous annual leave, pension, death in service, income protection, and more.
- A culture rooted in fun, collaboration, learning, and growth. We're serious about what we do without taking ourselves too seriously.
We live by four values: Integrity, Growth, Simplicity, Excellence. If they sound like yours, we should talk.
To apply for this job please visit www.reed.co.uk.
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