Compliance Officer

Compliance Officer Leicester (Hybrid) We are proud to be representing a credible firm of Independent Financial Planners who are a very well-established, FCA-regulated financial planning firm offering over 36 years of experience delivering tailored advice to both private and corporate clients. As part of a major national network, they offer expert, unbiased guidance across pensions, investments, estate planning, inheritance tax, and mortgages. Built on values of nurturing relationships, navigating futures, client-centred excellence, and thriving together—they're committed to high standards, collaborative culture, and continued growth. The Compliance Officer will work closely with the Financial Planning Director and Operations Director to help ensure policies, procedures, communications and adviser activities reflect both network expectations and our internal commitment to professional, ethical advice. Key Responsibilities: • Maintain up-to-date knowledge of Openwork’s compliance requirements and ensure these are implemented across the firm. • Coordinate the internal application of Openwork’s policies and updates, including those specifically relating to documentation, communications, file checks, and complaints. • Oversee advice file reviews in accordance with network expectations and follow up on remedial actions. • Support Openwork’s complaint handling process internally, ensuring accurate records and clear communication. • Review and manage the sign-off process required for client facing communications and materials to ensure compliance with Openwork’s standards. • Attend Openwork compliance events and forums as required, disseminating key updates to the relevant teams. • Provide regular reports to senior leadership on key compliance issues, developments, and risk indicators. • Lead on the implementation and interpretation of the Consu