Paraplanner (Compliance Specialist)

Job Description:

Our client, an established independent wealth management and financial planning firm, is seeking an experienced Paraplanner / Compliance Specialist to join their growing team. This is an excellent opportunity for a technically strong paraplanning professional with compliance experience to play a key role in maintaining high standards of advice, supporting regulatory oversight, and driving continuous improvement across the business.

Working closely with advisers and senior leadership, you will combine technical paraplanning expertise with compliance oversight, helping to ensure robust advice processes, regulatory compliance, and positive client outcomes.

Essential Skills/Experience:

Level 4 Diploma in Financial Planning (or equivalent).

Significant paraplanning experience within a financial planning or wealth management environment.

Strong technical knowledge of pensions, investments and financial planning.

Experience reviewing files, suitability reports and regulatory requirements.

Confidence to influence and challenge advisers where appropriate.

Excellent attention to detail and strong written communication skills.

Comfortable using technology and AI to improve efficiency and consistency.

Knowledge of FCA regulations, Consumer Duty and AML requirements.

Desirable Skills/Experience:

Higher-level qualifications (Level 6/7, Chartered or working towards).

Experience in compliance oversight, Training & Competence (T&C), or adviser supervision.

Core Responsibilities:

Provide high-quality technical paraplanning support across pensions, investments and wider financial planning.

Review and maintain suitability report templates and advice documentation, using technology and AI to improve efficiency and consistency.

Conduct technical research to support complex pension and financial planning cases.

Carry out file reviews and quality assurance checks to ensure advice meets regulatory requirements and internal standards.

Support the firm's Training & Competence (T&C) framework, including adviser file checking and sign-off where appropriate.

Oversee compliance processes, including anti-money laundering (AML) requirements, suitability frameworks, regulatory filings and governance controls.

Monitor regulatory developments and ensure internal processes remain compliant.

Identify and mitigate regulatory and business risks, maintaining a strong focus on quality and client outcomes.

Provide constructive challenge to advisers to ensure recommendations remain suitable, robust and compliant.

Collaborate with colleagues across the business to enhance processes and maintain high technical standards.

Benefits:

A highly competitive salary

Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 16530

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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