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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates deep technical knowledge in financial advice suitability across investments, pensions, protection, and mortgages, while effectively interpreting FCA rules and maintaining compliance standards. Capable of providing constructive feedback and supporting continuous improvement in advice quality and regulatory adherence.
Highest-signal resume keywords
FCA Handbook KnowledgeFinancial Advice Diploma Level 4 or Level 6Compliance Monitoring ExpertiseAttention to DetailFinancial Crime / AML Knowledge
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Holistic Financial AdviceSuitability ReviewRegulatory ReportingCompliance MonitoringFile CheckingTechnical ConsultingAdvice Quality Trends AnalysisPolicy and Procedure MaintenanceFCA Rules InterpretationConsumer Duty Understanding
Soft Skills
Clear CommunicationSolutions-Focused ApproachConstructive FeedbackHelpful AttitudeBold Approach
Certifications & Qualifications
Level 4 Diploma in Financial AdviceLevel 6 Diploma in Financial Advice
Industry Keywords
FCACOBSFinancial PromotionsComplianceFinancial CrimeAMLSecond-Line ControlsContinuous ImprovementAdviser SupportTechnical Planning
About the role
Key responsibilities & impact- Run the advice quality, file checking and monitoring programme
- Review suitability of holistic financial advice across investments, pensions, protection and mortgages
- Act as the internal regulatory authority on advice and handle complex suitability and regulatory questions
- Interpret and apply FCA rules, especially COBS, in a practical way
- Maintain the compliance monitoring plan and embed compliance across teams
- Support financial crime / AML checks and other second-line controls
- Identify advice-quality trends and provide feedback to advisers and the business for continuous improvement
- Keep policies, procedures and training up to date as rules and propositions evolve
- Support the Head of Compliance with regulatory reporting, projects and FCA interactions
- Work closely with the Head of Compliance, advisers and technical planners
Requirements
What you’ll need- Deep technical advice knowledge across suitability and the technical detail of advice across investments, pensions, protection and mortgages
- Level 4 or Level 6 Diploma in financial advice with a recognised professional body (CII, CISI, etc.) preferred
- Background as a file checker, compliance monitoring specialist, senior paraplanner, technical consultant or experienced adviser
- High attention to detail and ability to explain technical points clearly and constructively to advisers
- Strong working knowledge of the FCA Handbook (COBS), Consumer Duty, Financial Promotions, and basics of financial crime / AML
- Pragmatic, solutions-focused approach supporting advisers and helping the business move quickly and safely
- Helpful, straightforward and bold approach
Benefits
Comp & perks- Join a firm with genuine purpose and impact on our customers, along with a strong moral code
- Competitive salary + benefits (bonus, pension, private medical, income protection, death in service)
- Potential to get equity in the company in the future
- Access to Wellness / mental health support (Headspace App + mental health support through private medical)
- Budget for additional learning / cost of exams
- Electric vehicle leasing through salary sacrifice / cycle to work scheme
- Flexible working hours and hybrid remote working (typically 2-3 days a week working in the office (20 Farringdon Street))
- Exceptionally open and diverse, multinational team
- Entrepreneurial, creative environment