Compliance Assistant

• Location: Remote or Office Based (Regular travel to Poole required)
• Experience: 3-5 years in a similar role or as a Financial Planner
• Qualifications: Diploma in Financial Planning (R01–05 or equivalent) / Compliance Qualifications (desirable)
• Salary: £40k - £50k depending on experience

Join a Chartered financial planning firm dedicated to providing tailored financial planning and advice. This new role focuses on Financial Planning advice and file reviews, ensuring compliance with regulatory standards.

The business is a chartered IFA based in the South of England offering holistic financial advice to individuals, households, trustees, and businesses. They are committed to making financial planning accessible and tailored to personal goals. The IFA provides services across a range of areas including investments, business financial planning, retirement planning, protection, mortgages, and equity release.

Day-to-day of the role:

• Assist in the review, assessment, and monitoring of advice provided by Financial Planners and those of its Appointed Representatives and other Group partner firms while providing technical support for advisers.
• Help maintain detailed and accurate compliance records and report any identified compliance issues.
• Support the Head of Compliance in ensuring that the firm operates in accordance with all relevant regulation and legislation.
• Assist with the review, update, and implementation of policies and process standards.
• Help resolve complaints and E&Os, including redress calculations.
• Assist with the gathering, recording, and reporting of relevant Management Information.
• Monitor the firm’s compliance with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice, and the relevant FCA rules at all times.
• Comply with the procedures of the firm at all times and be responsible for the proactive and positive implementation of Consumer Duty.

Required Skills & Qualifications:

• Knowledge & experience of Retail Financial Services Compliance, advice, and file checking.
• Excellent attention to detail and ability to meet hard deadlines.
• Excellent organisational skills and good communication skills.
• Proactive attitude to resolving issues.
• Good level of skill with Microsoft Office applications and confidence with using IT systems.

Benefits:

• Salary - £40k - £50k
• Pension scheme (3% employer contribution),
• Death in Service
• Private Medical Insurance.
• Cycle to work scheme.
• 25 days holiday plus an additional ‘birthday’ holiday.
• Opportunities for continuous professional growth and development.

To apply for this Compliance Assistant position, please apply and submit your CV below, and I will reach out to you directly.

Synonyms

Compliance Analyst, Regulatory Assistant, Risk & Compliance Associate, Governance Support Officer, Audit Support Specialist, Legal & Compliance Coordinator, Financial Controls Assistant, AML/KYC Assistant, Compliance Operations Associate, Compliance Monitoring Assistant