Compliance Officer

Job description

Compliance Associate

Financial Planning & Wealth Management

An established and growing financial planning and wealth management firm is seeking a Compliance Associate to support its Head of Compliance and play a key role in the ongoing development of its compliance and adviser supervision framework.

This is a structured, developmental opportunity designed to evolve over a three-year period into a senior compliance leadership position. It would suit an ambitious individual looking to build a long-term career in compliance and competence oversight within a regulated advice environment.

The Role

Reporting to the Head of Compliance, you will support the effective operation of the compliance function while contributing to the oversight and development of the firm’s T&C framework.

This is a broad role offering exposure across regulatory oversight, adviser supervision, governance, and data protection.

Over a structured three-year development pathway, you will progress from supporting day-to-day compliance activity including complaints handling, file reviews, FCA horizon scanning, monitoring plan maintenance, SMCR support and management reporting to taking on broader governance and risk responsibilities such as embedding the firm’s risk framework, strengthening systems and controls, and contributing to regulatory due diligence activity.

By year three, you will transition into a more strategic compliance leadership role, acting as a key adviser to the business, overseeing the Compliance Monitoring Plan and policy framework, supporting the T&C scheme at a senior level, and operating as Deputy Data Protection Officer, with a clear trajectory toward full compliance ownership.

Extra information

Status

Open

Education Level

Secondary School

Location

Bath

Type of Contract

Full-time jobs

Published at

19-03-2026

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English