Financial Planning Compliance Officer - Capio Recruitment Financial Planning : Job Details

Job Title: Financial Planning Compliance Officer

Location: Chippenham

Salary: £30,000 - £45,000

A bespoke Independent Financial Advisory firm near Chippenham are looking to add to their back office team with the addition of a data analyst. They are a smaller firm that are continuing to grow and that are committed to delivering tailored financial advice and services to all their clientele.

They are ideally looking for a skilled Data Analyst to enhance their data-driven decision-making, focusing around delivering on compliance.

Job Overview:

This role could be tailored for the right individual but would have a focus around using Intelliflo in order to gather information/data and produce compliance information to ensure the firm delivers on their regulatory commitments.

Compliance experience is not necessary but a strong understanding of Intelliflo and some expedience in a financial planning firm would be ideal. This role would ideally suit someone who enjoys working within a data-driven role, is strong with Microsoft excel and enjoys working within a financial services environment.

You will analyze financial data, generate reports, and provide insights to support advisory services and ensure regulatory compliance. Proficiency in Intelliflo is essential.

Key Responsibilities:

• Analyze financial data from Intelliflo and other sources with a compliance focus.
• Develop dashboards and reports to track compliance KPIs.
• Collaborate with financial advisors and compliance officers to meet data needs.
• Conduct market research and assist in risk assessment.
• Ensure data integrity and compliance through regular audits.

Qualifications:

• Experience within a financial planning firm
• Proficient in Intelliflo and data analysis tools (e.g., SQL, Excel).
• Strong understanding of financial concepts and regulatory frameworks.
• Excellent analytical, communication, and problem-solving skills.

What We Offer:

• Competitive salary and benefits.
• Opportunities for professional growth.
• Hybrid position - Partly office based and partly home working