Operations Executive/Oversight Administrator
Bristol | Hybrid Working
£30,000 + 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.