Compliance Officer

Leicester (Hybrid)

We are proud to be representing a credible firm of Independent Financial Planners who are a very well-established, FCA-regulated financial planning firm offering over 36 years of experience delivering tailored advice to both private and corporate clients. As part of a major national network, they offer expert, unbiased guidance across pensions, investments, estate planning, inheritance tax, and mortgages. Built on values of nurturing relationships, navigating futures, client-centred excellence, and thriving together—they're committed to high standards, collaborative culture, and continued growth.

The Compliance Officer will work closely with the Financial Planning Director and Operations Director to help ensure policies, procedures, communications and adviser activities reflect both network expectations and our internal commitment to professional, ethical advice.

Key Responsibilities:

• Maintain up-to-date knowledge of Openwork’s compliance requirements and ensure these are implemented across the firm.

• Coordinate the internal application of Openwork’s policies and updates, including those specifically relating to documentation, communications, file checks, and complaints.

• Oversee advice file reviews in accordance with network expectations and follow up on remedial actions.

• Support Openwork’s complaint handling process internally, ensuring accurate records and clear communication.

• Review and manage the sign-off process required for client facing communications and materials to ensure compliance with Openwork’s standards.

• Attend Openwork compliance events and forums as required, disseminating key updates to the relevant teams.

• Provide regular reports to senior leadership on key compliance issues, developments, and risk indicators.

• Lead on the implementation and interpretation of the Consumer Duty rules within the business.

• Ensure the business maintains effective systems to identify and support vulnerable clients.

• Work with department managers and advisers to ensure Openwork’s T&C scheme is appropriately embedded.

• Organise and support adviser T&C meetings, observations, and development planning.

• Monitor adviser KPIs and ongoing competence metrics.

• Ensure all staff complete required regulatory training and annual CPD testing,

• Ensure AML and data protection controls remain compliant with Openwork expectations.

• Support staff awareness and implementation of financial crime and data security policies.

• Maintain audit ready documentation and logs across all regulated areas.

Skills, Knowledge & Experience:

• Level 4/Diploma-qualified (e.g., DipPFS or equivalent) preferred

• Proven experience in a compliance role within a regulated financial advice firm or network environment

• Strong working knowledge of UK financial services regulation, compliance procedures, and oversight frameworks

• Familiarity with Openwork or similar network compliance structures is highly desirable

• Demonstrated ability to manage file reviews, complaints and T&C frameworks

• Confident and professional communicator with excellent organisational and interpersonal skills

• High attention to detail with a pragmatic, solutions oriented mindset

• A collaborative, values driven individual with the ability to influence at all levels

• Sound understanding of Consumer Duty legislation and best practices for identifying and supporting vulnerable clients

If this seems like the role for you then apply online or for further information speak to one of our specialist consultants quoting reference NJR15835