Operations Executive - #2102349

Operations Executive/Oversight Administrator

Bristol | Hybrid Working

£30,000- £35,000 + bonus & strong benefits

We’re working with a growing financial planning network who are looking to appoint an AR Oversight Associate to join their Adviser Oversight / Onboarding team.

This is a key role supporting the firm’s compliance and governance framework, with responsibility for adviser and firm-level checks, SM&CR requirements, and ongoing regulatory due diligence. It’s well suited to someone with compliance administration experience in financial services who enjoys detail-driven work in a structured, regulated environment.

The Role

You’ll support adviser oversight, onboarding and certification activity, including:

Firm-level responsibilities

• Carrying out due diligence checks for Appointed Representatives
• Managing DBS requests and adverse credit checks
• Gathering, reviewing and chasing required firm documentation
• Conducting sanctions and negative media checks on firms, directors and controllers
• Verifying directorships and regulatory information
• Issuing and following up regulatory reference requests

Individual-level responsibilities

• Managing initial and annual certification checks for certified staff
• Maintaining accurate records across internal systems and the FCA Directory
• Tracking SPS renewals and liaising with advisers ahead of expiry
• Issuing and reviewing Fitness & Propriety questionnaires
• Checking qualifications, CPD and compliance evidence
• Supporting learning and training enrolment via LMS platforms

Governance & policy

• Supporting the maintenance of compliance policies and procedures
• Ensuring individuals are appropriately certified for their regulated activities

About You

To be successful in this role, you’ll ideally have:

• Experience in a compliance or adviser oversight role within financial services
• A solid understanding of SM&CR and FCA regulatory requirements
• Strong organisational skills and excellent attention to detail
• The ability to manage multiple priorities and deadlines
• Confident written and verbal communication skills
• Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable)

What’s on Offer

• Salary of £33,000
• Bonus potential of up to 10%
• 10% non-contributory pension
• Private medical insurance
• Life assurance (8x salary)
• Supportive team environment with exposure to core compliance and governance activity

If you’re looking to build or continue a career in adviser oversight, compliance and regulatory governance, this is an excellent opportunity within a well-structured and growing organisation.

Get in touch to apply or find out more.