Job Description
Job Title: Compliance Assistant
Salary: £35,000 – £45,000 per annum
Location: Hawarden
About the Role
My client, a leading and fast-growing firm in the independent financial advice (IFA) sector, is seeking a Compliance Assistant to join their expanding team. This is an excellent opportunity for someone looking to progress their career within compliance while working in a supportive and collaborative environment that values professional growth.
The successful candidate will play a key role in ensuring compliance standards are maintained across the business, supporting the Compliance Manager, and contributing to risk management and process improvement.
Key Responsibilities
* Support the Compliance Manager in delivering the firm’s Compliance Monitoring Programme and Business Diary.
* Conduct pre- and post-sale file reviews and completeness checks on new business cases.
* Supervise trainee advisers working towards Competent Adviser Status (CAS), while supporting qualified advisers where necessary.
* Carry out compliance audits across the business to identify and mitigate risks.
* Assist in managing complaints handling and ensure adherence to FCA requirements.
* Monitor regulatory change and keep the business aligned with FCA, FSMA 2000, SMCR, T&C, and TCF obligations.
* Provide compliance feedback and challenge adviser recommendations where appropriate.
* Identify trends in new business submissions that may present risk to the firm.
* Prepare compliance MI and reports for management and regulatory purposes.
* Assist in developing policies and processes to strengthen compliance across the organisation.
Requirements & Skills
* 1+ years compliance experience within an independent financial advice (IFA) firm, or 2+ years in a related role.
* Diploma (Level 4) qualified preferred, with additional qualifications in pensions, investments or protection being advantageous.
* Strong knowledge of FCA compliance requirements and financial planning regulation.
* Excellent organisational, time management and communication skills.
* High attention to detail with a proactive, self-motivated approach.
* Ability to build strong working relationships across teams.
* Strong IT, analytical and report-writing skills.
* Professional, approachable and team-focused with integrity and problem-solving skills.
Key Competencies
* Analytical Thinking – ability to assess risks, identify trends and problem-solve effectively.
* Continuous Learning – demonstrates intellectual curiosity and commitment to professional growth.
* Integrity – upholds ethical standards and earns trust.
* Collaboration – approachable, team-oriented, and works well across departments.
* Assertiveness – confident in decision-making while remaining professional.
Benefits & Perks
* Competitive salary £35,000 – £45,000.
* Performance-based incentives.
* Pension scheme with enhanced employer contributions.
* Comprehensive benefits including Income Protection, Critical Illness cover, Life and Health Insurance.
* 25 days holiday plus statutory holidays (increasing with service).
* Paid sick leave.
* Training and financial support for professional qualifications.
* Clear career progression opportunities within a growing independent financial advice (IFA) firm.
How to Apply
If you are an ambitious professional with compliance experience in the independent financial advice (IFA) sector, we would love to hear from you. Apply today to take the next step in your career.
Related Job Titles:
Compliance Officer | IFA Compliance Assistant | Financial Planning Compliance Support | Compliance Associate | Compliance Monitoring Assistant | Independent Financial Advice Compliance Officer | FCA Compliance Specialist