Cap Resourcing Ltd
Operations Executive/Oversight Administrator
Bristol | Hybrid Working
£30,000- £35,000 + bonus & strong benefits
We’re working with a growing financial planning network who are looking to appoint an AR Oversight Associate to join their Adviser Oversight / Onboarding team.
This is a key role supporting the firm’s compliance and governance framework, with responsibility for adviser and firm-level checks, SM&CR requirements, and ongoing regulatory due diligence. It’s well suited to someone with compliance administration experience in financial services who enjoys detail-driven work in a structured, regulated environment.
The Role
You’ll support adviser oversight, onboarding and certification activity, including:
Firm-level responsibilities
- Carrying out due diligence checks for Appointed Representatives
- Managing DBS requests and adverse credit checks
- Gathering, reviewing and chasing required firm documentation
- Conducting sanctions and negative media checks on firms, directors and controllers
- Verifying directorships and regulatory information
- Issuing and following up regulatory reference requests
Individual-level responsibilities
- Managing initial and annual certification checks for certified staff
- Maintaining accurate records across internal systems and the FCA Directory
- Tracking SPS renewals and liaising with advisers ahead of expiry
- Issuing and reviewing Fitness & Propriety questionnaires
- Checking qualifications, CPD and compliance evidence
- Supporting learning and training enrolment via LMS platforms
Governance & policy
- Supporting the maintenance of compliance policies and procedures
- Ensuring individuals are appropriately certified for their regulated activities
About You
To be successful in this role, you’ll ideally have:
- Experience in a compliance or adviser oversight role within financial services
- A solid understanding of SM&CR and FCA regulatory requirements
- Strong organisational skills and excellent attention to detail
- The ability to manage multiple priorities and deadlines
- Confident written and verbal communication skills
- Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable)
What’s on Offer
- Salary of £33,000
- Bonus potential of up to 10%
- 10% non-contributory pension
- Private medical insurance
- Life assurance (8x salary)
- Supportive team environment with exposure to core compliance and governance activity
If you’re looking to build or continue a career in adviser oversight, compliance and regulatory governance, this is an excellent opportunity within a well-structured and growing organisation.
Get in touch to apply or find out more.
To apply for this job please visit www.reed.co.uk.
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