Ranked as one of the Top 100 Financial Advisers in the country with the FT Adviser Top 100 for six consecutive years.
At Douglas Steers and Company, we are dedicated to helping our clients achieve their financial goals through expert advice, strategic planning, and personalised financial solutions. We are seeking an experienced Training & Compliance Officer to join our growing team. This is an exciting opportunity to join our firm as the business rapidly expands.
We are seeking an experienced Training & Compliance Officer to join our team. This is a pivotal role responsible for embedding a strong compliance culture across the business while designing and delivering effective training programmes to support adviser development, competence, and regulatory adherence.
You will work closely with advisers, management, and senior leadership to ensure all staff meet regulatory standards and maintain the highest levels of professionalism and client care.
Position Overview:
We are looking for a Training & Compliance Officer. The successful candidate will play a key role in supporting the career growth and professional development of our IFAs. This opportunity involves coaching, training, and building strong, positive working relationships.
Key Responsibilities will include but are not limited to:
- Monitor and maintain adherence to FCA regulations and internal policies
- Conduct file reviews, audits, and thematic reviews across advisers and support teams
- Identify compliance risks and implement corrective actions
- Support the preparation for audits and regulatory reviews
- Maintain up-to-date compliance policies and procedures
- Provide guidance on regulatory changes and their impact on the business
- Promote a strong culture of compliance, ethics, and continuous improvement
- Act as a point of contact for compliance and training queries
About You:
- Must hold CII or LIBF Regulated Financial Planning Diploma
- Previous experience gained within an IFA environment
- Strong understanding of FCA regulations and financial advise processes
- You will have previous experience in coaching and upskilling individuals/advisers
- Strong communication and presentation skills
- Commercial Awareness
- Attention to detail
- Proactive, organised approach
- Collaborative mindset
Benefits:
- 33 days holiday (including bank holidays)
- No weekends
- Christmas closure
- Paid Professional Membership
- Full back-office support
- Expanding business and opportunity to grow
- Company events
- Wellbeing support
- Cycle to Work scheme (after 2 years)
- Birthday Off (after 2 years)
- Free Financial Advice
What next?
If you are passionate about helping individuals and families achieve their financial goals, eager to take the next step in your career and believe you have the skills and experience to thrive in this role, we'd love to hear from you!
Douglas Steers & Company is an equal opportunity employer and is committed to fostering an inclusive, diverse, and respectful work environment for all employees.
Pay: £70,000.00 per year
Benefits:
- Company events
- Company pension
- Cycle to work scheme
- Financial planning services
- Health & wellbeing programme
- Private medical insurance
Application question(s):
- Do you hold a Level 4 Diploma in Regulated Financial Planning?
Work Location: In person
