Senior Compliance Executive

About Us

Craven Street Wealth is an award-winning Chartered financial planning and wealth management firm, helping individuals, families and businesses make confident financial decisions.

We combine expert advice with a personal approach, building long-term relationships that help our clients achieve their goals. With offices across London and the South of England, our teams work collaboratively to deliver outstanding service and tailored financial planning solutions.

As part of Quanta Group, we are backed by the strength of a wider financial services group that includes Wealthtime and Copia Capital. While each business operates independently, we share a commitment to delivering excellent client outcomes, supporting our people to grow and creating an environment where everyone can thrive.

We know that our success comes from our people. That is why we are committed to creating a supportive, collaborative culture where everyone can develop their skills, contribute ideas and build a rewarding career.

About The Role

A highly motivated and detail oriented Senior Compliance Executive to join our growing team. They will provide essential support in first line checking to ensure reports and research meet the pre-defined quality standards and regulatory requirements demanded by the firm.

This is a full-time, permanent role. However, if you require some flexibility, we are open to having a chat about different working patterns.

Key Responsibilities

To undertake advice quality assurance checks

• Ensure that the suitability reports and technical research is of the highest quality, delivered in an efficient and compliant manner whilst mitigating any risks to the business.
• Meet service level agreements in a timely manner as agreed.
  
  

Quality Assurance and Improvement

• Proactively monitor trends, clearly document, record and co-ordinate to assess the quality of advice provided and to identify patterns and areas for improvement
• Provide feedback to financial planners and advisory teams in a clear and concise manner and explain any remedial work required.
  
  

Reporting and Insights

• Generate regular reports on the findings providing insights into how the advice quality can be improved. This could include visual representations of trends.
  
  

Compliance and Regulatory Monitoring

• Ensuring that all advice given adheres to regulatory guidelines, industry standards, company policies, and supporting documentation is held on file. This role will require an understanding of relevant industry regulations.
• Assess the suitability of the advice produced. including complex recommendations on pension transfers and higher risk products such as VCT.
  
  

Collaboration with Stakeholders

• Collaborate with the compliance manager & training and competence supervisors to ensure feedback are captured.
• Collaborate with various departments to ensure quality standards are met and continuous improvements are made. This might involve training and providing the appropriate feedback.
  
  

This is not an exhaustive list, and responsibilities may evolve over time to meet the needs of the business.

About You

Specialist Skills, Qualifications and Experience:

Essential

• Minimum 5 years’ experience in a quality assurance or paraplanning/report writing role essential.
• Previous experience working in a financial services firm regulated by the FCA.
• Regulated Diploma in Financial Planning (DipPFS) qualified & willingness to progress to Advanced Diploma.
  
  

Skills And Knowledge

• Strong communication and relationship-building skills.
• Good organisational and time-management skills.
• Ability to manage competing priorities effectively.
• Strong attention to detail and accuracy.
• A proactive and solution-focused approach.
• Ability to work independently and as part of a team.
• Comfortable using Microsoft Office and other business systems.
• Experience in Intelliflo preferred but training will be provided.
• Understanding of the Financial Planning process and products.
  
  

We recognise that great candidates come from a variety of backgrounds and experiences. If you are excited by the opportunity but do not meet every requirement, we would still love to hear from you.

Rewards & Benefits

At Craven Street Wealth, we believe in supporting our people both professionally and personally. In return for your contribution, you'll have access to a range of benefits including:

• Competitive salary.
• Hybrid working, with time split between home and office.
• Discretionary annual bonus.
• 34 days holiday per calendar year, including bank holidays, with the option to purchase up to five additional days per year.
• Supported and encouraged professional development.
• Contributory pension scheme
• Medical cashback plan, helping cover the cost of everyday healthcare expenses such as dental treatment, eye care and physiotherapy.
• Occupational sick pay scheme.
• Group income protection scheme.
• Life assurance scheme
• Cycle to Work scheme.
• Up to 10 hours of volunteering leave each year.
• Opportunities for internal progression within Craven Street Wealth and across the wider Quanta Group.
• A collaborative and supportive culture where colleagues are encouraged to grow, contribute and succeed.
  
  

Craven Street Wealth is an equal opportunities employer, and we are committed to creating an inclusive workplace where everyone feels valued, respected and able to be themselves.

We recognise that people work in different ways and bring different experiences, perspectives and ideas. We believe these differences make us stronger and help us deliver better outcomes for our clients and colleagues.

We welcome applications from everyone, regardless of background, beliefs, culture, gender identity, ethnicity, sexual orientation, disability or long-term health condition.

If you require any reasonable adjustments during the recruitment process, please let us know and we will do our best to support you.