Complaints OfficerLocation: Leicester — hybrid, one day per week in office We're recruiting for a Complaints Officer to join the compliance team of a mortgage network, handling a high volume of complaints linked to one of its largest intermediary partner firms. You'll independently and impartially investigate, manage and resolve complaints and disputes, delivering fair outcomes in line with FCA requirements while remaining commercially aware.  ResponsibilitiesReceive and respond to inbound complaints and queries within FCA timescales, ensuring complainants are treated fairly and consistentlyApply the FCA's Dispute Resolution Rules (DISP) and other relevant guidance throughout the complaints processConduct thorough investigations, researching records, reviewing files, and liaising with relevant staff and the partner firm to build a clear picture of eventsRecommend appropriate redress or remedial action in line with the Complaints Handling PolicyManage a caseload of complaints at varying stages of resolution, communicating clearly and confidentially with all partiesLiaise with external bodies such as the Financial Ombudsman, legal firms, or claims management companies as neededMaintain accurate, complete records of investigations and supporting documentationSupport the production of management information for senior stakeholders, and assist with monitoring legal feesRequirementsMinimum 3 years' hands-on complaints handling experience within financial servicesMortgage and protection industry background essentialStrong knowledge of FCA rules and guidance, including DISP, CONC, ICOBS, Vulnerable Customer, and Consumer DutyConfident communicator, able to present complex information clearly both verbally and in writingComfortable managing a busy caseload and working to tight deadlinesCeMAP or equivalent qualification, or willingness to work towards it

File Quality Checker – Mortgage & ProtectionLocation: Norfolk/ Suffolk (once a week in office, largely remote)We're recruiting for a Business Quality Assessor to join the compliance function of a mortgage network, providing dedicated QA oversight for one of its largest intermediary partner firms. This is a hands-on quality assurance role covering both file and call auditing, ensuring mortgage and protection advice meets FCA standards and that customers consistently receive good outcomes.  ResponsibilitiesConduct detailed reviews of mortgage and protection advice files and calls, assessing suitability, documentation quality, and compliance with FCA regulations (including MCOB, ICOBS, and Consumer Duty)Deliver structured, actionable feedback to advisers to improve advice quality and regulatory understandingAct as the primary QA point of contact for a major partner firm, providing oversight and constructive challenge on quality and riskIdentify trends, risks, and systemic issues, escalating high-risk findings in line with governance proceduresProduce clear QA reports and contribute to management information and reportingPrimarily covers first-charge mortgages, with second-charge business expected to followRequirementsSignificant experience in mortgage and protection advice file/call QA, ideally from an intermediary or broker background (small-to-medium firm experience preferred)Strong working knowledge of FCA regulations, including MCOB, ICOBS, and Consumer DutyConfident, diplomatic communicator with a track record of coaching advisers and influencing behaviourStrong analytical skills and attention to detailCeMAP or equivalent qualification desirable (support available to obtain this if not already held)Full UK driving licence required, with willingness to travel occasionally to partner offices

Head of Proposition Governance(Hybrid – 3 days/week in office) | 12-Month FTC (strong intent to go permanent) | £75,000–£95,000 + benefits.  A leading, adviser-owned financial advisor — spanning wealth management, protection, mortgages and pensions — is looking for an experienced Head of Proposition Governance to lead and evolve its proposition governance capability. Following a significant recent capital investment and new (internal promotion) senior leadership, the business is in a genuine growth phase — expanding its adviser base and its product range. This is a rare opportunity to join at a pivotal moment and shape governance across a proposition set that's actively evolving. This is a governance and oversight role, not a hands-on product-building one. You'll be the person ensuring the product range is good for customers, commercially sound, and defensible to regulators — owning the framework, chairing the committees, and holding the business to accountWhat You'll Be DoingLead the design, delivery and continuous improvement of the Proposition Governance Framework, ensuring alignment with regulatory requirements, Consumer Duty and group risk appetiteOwn the end-to-end Proposition Development & Management Framework — covering in-house and third-party products, due diligence, target market analysis and periodic review of existing propositionsChair and manage key governance forums, including the Proposition Management Committee and Product Review CommitteeUse market insight, customer data and competitor analysis to identify opportunities and support strong customer outcomesProvide clear governance reporting to senior leadership and boardsManage provider/supplier relationships, including commercial negotiationLead and develop a small, established teamWhat You'll NeedSignificant senior-level experience in financial services and product/proposition governanceA strong track record in proposition development and governance within a regulated environmentExcellent working knowledge of the regulatory landscape, including Consumer Duty and its impact on customer outcomesBroad knowledge across wealth, insurance and mortgages — including provider, competitor, market and adviser dynamicsExperience in supplier selection, commercial negotiation, and influencing senior stakeholders, committees and boardsConfidence chairing committees and presenting to senior leadershipA relevant professional or postgraduate qualification is advantageousThis is a fast moving position - we encourage you to apply now and the team will be in touch shortly. Goodluck!

Role: Certified Public Accountant (CPA) Location: New JerseySchedule: Full time - On SiteOur client is a highly respected, award-winning investment and wealth advisory firm based in Bergen County, NJ, recognized as a top firm by AUM and ranked nationally for financial advisory services. We've been engaged to help them find a CPA focused on individual tax preparation to join their growing team.The RoleThis is a client-facing CPA position centered on 1040 client interviews and preparation, with room to grow into small business tax, estate planning, and financial advisory work. The successful candidate will meet directly with clients, prepare tax returns, and work alongside the firm's wealth advisors on estate planning matters. There's a clear path to expand into financial planning, with support for additional credentials such as the CFP.What You'll DoMeet with and prepare individual (1040) tax returns for existing clientsPrepare small business tax returns (1065s, some 1120s)Work on estate plans and estate tax returns, including NJ-ITR, 1041, 706Provide tax planning for clients throughout the yearSupport financial planning and client budgetingParticipate in retirement and estate planning meetingsSupport financial advisors with tax planningContribute to new business developmentWhat Our Client Is Looking ForCPA designation (or well progressed through the exams, e.g., multiple sections passed on first attempt)Roughly 1-5 years of experience, ideally someone earlier in their career who's interested in growing into an advisory roleHighly organized, efficient, and able to self-manageIn-office role, with availability for some evenings and Saturdays during client meetings and tax season (Feb-Apr)Lacerte tax software experience a plusExcellent verbal and written communication skillsStrong work ethic and a growth-oriented mindsetWhy This RoleOur client offers a collaborative, inclusive culture, competitive salary, and genuine long-term growth potential, including a path toward financial advisory work and additional credentials. The firm is expanding its office space to support continued team growth.

Role: Audit Engineer Location: New York CitySchedule: Full time - On SiteOur client is building the trust infrastructure for the AI economy, starting with audit and accounting workflows. Their platform helps firms automate complex audit processes, deploy AI safely, and modernize how audit teams operate. We've been engaged to help them find an Audit Engineer to join their growing team.The RoleThis is a highly cross-functional role bridging customer success, implementation, product, and engineering. The successful candidate will work directly with accounting firms as they evaluate, implement, and scale the platform, developing a deep understanding of customer workflows and translating real-world audit challenges into product improvements.What You'll DoLead customer workflow discovery during implementationsServe as a trusted advisor throughout onboarding and adoptionRun weekly customer check-ins and manage ongoing communicationsSupport pilot engagements and new product rolloutsTranslate customer pain points into actionable product feedbackManage engineering tickets, ensuring customer requests are tracked through resolutionPartner with Product and Engineering to prioritize customer needsHelp customers redesign workflows to leverage AI-powered automationBuild trusted relationships with audit partners, managers, and staffWhat Our Client Is Looking For5-10 years of audit or assurance experienceCPA preferredExperience at a Big 4 or Top 25 accounting firmStrong understanding of audit methodology and client workflowsExcellent communication and relationship-building skillsHighly organized with strong project management abilityComfortable managing multiple customer engagements at onceCurious about technology and excited by AI's potential to transform auditHigh ownership mentality, comfortable in a fast-moving startup environmentBonusExperience with audit technology or workflow automation toolsExperience implementing enterprise softwareExposure to AI, data analytics, Alteryx, Power BI, SQL, or process automationExperience leading firm innovation or transformation initiativesPrior customer-facing, implementation, or consulting experienceIf this role sounds like a good fit for you then please do reach out to discuss further!

Senior Compliance Manager (SMF Designate)UK Remote/ London HybridA high-impact Compliance leadership opportunity within a fast-growing, technology-led financial services business operating across insurance and fintech. Reporting to the Chief Risk Officer, you will lead the UK Compliance function, act as the firm's primary FCA contact, and be put forward for approval under the Senior Managers & Certification Regime (SMCR). This role offers broad exposure across regulatory compliance, financial crime, governance, consumer duty, and risk management, with significant influence on business growth, product development, and regulatory strategy. Key ResponsibilitiesLead the UK Compliance function and assume SMF responsibilities following FCA approval.Act as the primary liaison with the FCA, managing regulatory engagement, submissions, and notifications.Maintain and enhance Compliance and Financial Crime frameworks, ensuring they remain effective and scalable.Oversee compliance monitoring, risk assessments, controls testing, incident management, and regulatory reporting.Lead Consumer Duty and AML/CTF programmes, including governance, monitoring, and reporting obligations.Support new product launches, partnerships, and market expansion initiatives from a regulatory perspective.Provide reporting and insight to senior leadership and the Board on compliance, conduct risk, financial crime, and regulatory developments.Requirements8+ years' experience in Compliance, Financial Crime, Risk, or Legal roles within insurance, insurtech, fintech, banking, payments, or other regulated financial services environments.Experience operating at, or ready to step into, an FCA-approved Senior Manager Function role.Strong knowledge of FCA regulations, Consumer Duty, SMCR, AML/CTF requirements, and wider UK regulatory frameworks.Proven ability to build pragmatic compliance frameworks within high-growth or technology-led businesses.Strong stakeholder management skills with experience engaging regulators, senior leadership, and Boards.This is an excellent opportunity to take ownership of a critical function within an innovative, scaling organisation and play a key role in shaping its regulatory and compliance strategy.

Senior Compliance Manager    As the Senior Compliance Manager, you will be responsible to ensure regulatory requirements are met, deliver good customer outcomes, and maintain robust governance frameworks in accordance with Financial Conduct Authority (FCA) expectations, including Consumer Duty. Some Key ResponsibilitiesProvide ongoing oversight and constructive challenge to ensure regulatory standards are maintainedBuild strong, credible relationships with senior management, advisers, and operational teamsProvide proactive, forward-looking compliance support to identify emerging risks and support early interventionProvide guidance on complex regulatory matters relating to mortgage and protection adviceIdentify, assess, and manage regulatory and conduct risks within the businessOversee monitoring activity, including file reviews, call assessments, thematic reviews, and audit outputsProvide clear, risk-based reporting to senior stakeholders, committees, and the Board where requiredExperienceStrong knowledge of UK financial servicesStrong knowledge of FCA regulation including MCOB, ICOBS and Consumer DutyDeep understanding of mortgage and protection advice processesStrong communication and stakeholder management skills.Experience in managing people effectivelyCeMAP Qualified

ParaplannerHybrid Working | CrawleyAn exciting opportunity has arisen for an experienced Paraplanner to join a growing and highly respected wealth management business.This role offers the opportunity to work closely with Financial Planners, providing technical expertise and delivering high-quality financial planning solutions for a diverse client base. You'll play a key role throughout the client journey, helping to develop tailored financial plans while building strong client relationships and supporting the delivery of exceptional client service.This is an excellent opportunity for a technically strong Paraplanner looking to further develop their career within a collaborative and client-focused environment.The OpportunityYou will work alongside Financial Planners and Client Services teams, supporting the delivery of comprehensive financial planning advice while ensuring a seamless client experience.The successful individual will have the opportunity to apply their technical expertise across a broad range of financial planning areas, contribute to business improvements, and continue their professional development within a supportive environment.Key ResponsibilitiesSupport Financial Planners by providing technical analysis and client solutionsConduct research, analysis and due diligence on client holdings and recommendationsPrepare technical calculations and cashflow modelling reportsProduce high-quality suitability reports aligned to client objectives and recommendationsBuild and maintain strong client relationships, acting as a key point of contact throughout the client journeyAttend client meetings where appropriateIdentify information required to develop comprehensive financial plansWork closely with Client Services teams to ensure recommendations are accurately implementedEnsure planners and clients receive timely updates throughout the advice processReview client files and ensure work is completed to regulatory and compliance standardsSupport continuous improvement initiatives across the businessMaintain up-to-date knowledge of legislation, regulation and industry best practiceAbout YouPrevious experience working as a Paraplanner or within a similar technical financial planning roleStrong understanding of financial planning products, solutions and technical calculationsExperience analysing client portfolios and producing suitability reportsAbility to work to deadlines while maintaining exceptional attention to detailStrong written and verbal communication skillsExcellent organisational and problem-solving abilitiesComfortable building relationships with clients and internal stakeholdersSelf-motivated with the ability to work independently and as part of a wider teamCommitted to ongoing professional development and continuous learningQualificationsCII Diploma in Regulated Financial Planning (DipPFS) desirableWorking towards CII Advanced Diploma in Financial Planning preferred3–4 years' relevant financial planning or paraplanning experienceWhy Apply?Join a collaborative and client-focused wealth management businessWork closely with experienced Financial Planners and advisersGain exposure to complex financial planning cases and client portfoliosStrong commitment to professional development and qualifications supportOpportunity to contribute ideas and influence business improvementsHybrid working environment and supportive team cultureClear long-term career progression opportunitiesIf you are a technically strong Paraplanner looking to join a business that values expertise, collaboration and client outcomes, we'd love to hear from you.