Firm Compliance Partner

TL;DR

Firm Compliance Partner (Financial Planning): Deliver regulatory oversight to appointed representative firms and ensure Treating Customers Fairly principles with an accent on risk identification, bespoke action plans, and governance. Focus on conducting inspections, building relationships with AR Principals, and managing risks through assessments and firm visits.

Location: Remote, with travelling in the South region (South East/Kent / South West); field and home-based role with an average of 2 days a week in the field

Company

Leading wealth management business overseeing £141.2 billion in customer investments, offering financial advice, investment platforms, multi-asset solutions, and discretionary fund management across Affluent and High Net Worth segments.

What you will do

• Build relationships with AR Firm Principals and coach them to achieve effective governance and adherence to network standards.
• Conduct diarised annual assessments, bespoke firm visits, and inspections to identify and resolve risks.
• Develop unique action plans, set timescales for rectification, and manage issues to conclusion.
• Review risk assessments, analyze data, and apply controls to maintain professional safety within network appetite.
• Escalate failings, provide feedback, and collaborate with other departments on areas of concern.

Requirements

• High-level experience in field supervision or compliance monitoring as a competent assessor for firms and advisers
• Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent
• Compliance & Risk qualification
• Strong relationship builder, confident communicator skilled in questioning, with sound judgment and analytical approach.
• Inquisitive nature for assessing risks and developing action plans.

Culture & Benefits

• Continuous training and development to build confidence and personal growth.
• 26 days holiday (182 hours), non-contributory pension, private medical insurance, life assurance (4x salary), income protection.
• hirify.global Incentive Scheme, flexible benefits via salary deduction.
• Values: Do the right thing, Always curious, Embrace challenge, Stronger together.
• Inclusion & diversity focus with equal opportunities.