Compliance Analyst (Client Outcomes)
About Attivo:
Attivo are Lifestyle Financial Planners.
We’re a privately owned company. We prefer it that way. It means we’re free to do what we feel is best for our clients and our people. Our work is all about our clients. We pride ourselves on being completely transparent, open and honest – an approach that builds trust with our clients and inspires their financial confidence.
Our experienced, highly qualified financial specialists and expert support teams are committed to delivering more for all our clients. Our independent status and unique approach to understanding our clients, their preferences and their motivation sets us apart. We will build and provide ongoing support for a bespoke financial plan aimed at fulfilling our clients’ lifestyle needs.
Whether you’re a private client or a business accessing our corporate services, you can rely on a clear, consistent service from your Financial Planner and from our experienced teams.
About The Role
As a Compliance Analyst, you will play an important role in supporting the business to maintain high regulatory and compliance standards while delivering fair outcomes for clients. The role is primarily focused on managing complaints through to resolution, ensuring all cases are handled professionally, efficiently and in line with regulatory requirements, internal policies and company values.
Working closely with stakeholders across the business, you will investigate complaints and breaches, support service recovery activity and provide valuable insight through root cause analysis and reporting. You will also contribute to broader Compliance activities, including monitoring reviews, regulatory reporting and delivering guidance and training to client-facing teams where required.
This is an excellent opportunity for someone who is analytical, organised and client-focused, with the ability to manage sensitive matters professionally while supporting a culture of continuous improvement and regulatory excellence across the business.
About You
You will be a detail-oriented and professional individual with experience working within Financial Services and a strong understanding of the regulatory environment. With previous complaints handling experience, you will be confident managing sensitive matters with professionalism, empathy and good judgement, ensuring fair client outcomes and compliance with regulatory requirements at all times.
You will possess excellent communication and customer service skills, with the ability to interpret and explain complex information clearly to clients and colleagues. Comfortable working across multiple priorities, you will have strong organisational and time management skills, alongside a pragmatic and solutions-focused approach to problem-solving.
We are looking for someone who can build strong working relationships across the business, work collaboratively within a professional team and take a proactive approach to supporting regulatory oversight, compliance monitoring and continuous improvement activities. Experience supporting areas such as Consumer Duty, AML/CDD processes and broader compliance activities would be highly advantageous.
Key Responsibilities Include
- Manage, investigate and report regulatory complaints and breaches.
- Ensure complaints are investigated and resolved appropriately in line with procedures and regulatory rules (DISP).
- Report internally and externally, where applicable, all regulatory complaints and breaches.
- Ensure all FOS, FSCS and DSAR requests are handled appropriately and within regulatory timescales.
- Provide reports for the Compliance Manager and Regulatory Oversight Board.
- Provide support to the business on a range of issues, including internal policy development, maintenance, regulatory supervision and change, Consumer Duty obligations, and financial crime controls.
- Support AML/CDD processes, including client identity verification, enhanced due diligence referrals, and maintenance of accurate client risk profiles.
- Conduct Compliance Monitoring Activities as required in the monitoring plan.
- Regulatory reporting to meet business needs.
- Root cause analysis and reporting.
- Responsibility for client contact for compliance and monitoring purposes.
- Support the wider business with oversight of service recovery and resolution.
Essential Skills and Experience
- Strong customer service skills
- Background in Financial Services
- Knowledge of financial products and regulatory environment
- Experience of compliant handling
- Minimum 5 GCSEs (or equivalent), including Maths and English
- Excellent communication skills, both written and verbal
- Ability to interpret and explain complex information
- Ability to build and maintain excellent working relationships within a professional team
- Strong organisational and time management skills
- Pragmatic problem-solving
Salary and benefits
Circa £32,500 depending on experience.
Attivo Also Offers
- Non-contributory Pension Scheme
- Private Medical Insurance
- Income Protection
- Critical Illness
- Death in Service
- Generous holiday allowance, rising with length of service
- Hybrid working
- Subsidised parking
- Excellent culture, promoting employee wellbeing and engagement
Recruitment Policy
Attivo is committed to being an Equal Opportunities employer. If you require reasonable adjustments at any stage of the recruitment process, please let us know, and we will endeavour to make the process as accessible and as fair as possible.
Please be aware that any offer of employment will be subject to satisfactory completion of pre-employment vetting as outlined by the Financial Conduct Authority (FCA) . This may include but not limited to adverse financial history, criminal records, UK directorship and disqualifications check.
Attivo do not use recruitment agencies and we respectfully ask that agencies do not contact us in regard to posts advertised on this site.
Privacy Policy
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