About

Compliance SpecialistGlasgow (Hybrid)£38,000 – £42,000 + excellent benefits Join a respected, independent financial advisory firm with a strong reputation and a supportive, mid-sized team. This is a fantastic opportunity to develop your compliance career in a business that values integrity, professional growth, and long-term client relationships. You’ll enjoy a flexible hybrid working model, a generous benefits package including income protection, critical illness cover, life assurance, 34 days holiday, annual bonus, and a highly competitive employer pension contribution, as well as full study support to help you progress further. What you’ll do Monitor and enforce internal compliance policies and proceduresConduct training and monitoring (T&C) 1-2-1s with advisersCheck client files pre- and post-sale, providing direct feedback to advisersReview and update company policies to reflect regulatory changesSupport regulatory reporting through research and collation of compliance management informationInvestigate and resolve compliance concerns or breachesMaintain records of compliance activitiesCollaborate with advisers and administration teams to ensure cross-functional compliancePrepare and deliver training materials to staff on compliance topics What you’ll need Level 4 Diploma (or above) in financial planning1–3 years’ experience in a compliance or regulatory role, ideally reviewing advice for pensions and investmentsFamiliarity with FCA requirements for investment advice, and regulatory frameworks (e.g., FCA Handbook, GDPR, AML) About the company This is a well-established, independent firm with a great reputation in the market. As a mid-sized business, they offer the best of both worlds: a collabor