At a Glance
- Tasks: Support compliance and governance by conducting due diligence checks and managing documentation.
- Company: Join a growing financial planning network with a strong focus on compliance.
- Benefits: Competitive salary, bonus, hybrid working, and excellent benefits package.
- Other info: Dynamic role with opportunities for professional growth in a structured environment.
- Why this job: Be part of a crucial team ensuring regulatory compliance and making a real impact.
- Qualifications: Experience in compliance administration within financial services and attention to detail.
The predicted salary is between 30000 - 35000 £ per year.
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 accur...
Operations Executive employer: CAP Resourcing LTD
Join a dynamic financial planning network in Bristol, where your role as an Operations Executive will be pivotal in ensuring compliance and governance. With a strong emphasis on employee growth, the company offers robust benefits, a supportive hybrid work culture, and opportunities for professional development, making it an excellent employer for those seeking a meaningful career in financial services.
