Location
POOLE
Salary £40000 - £50000 TypePermanent WorkplaceOn-Site Ref88920
Compliance Assistant/File Checker
Company: Chartered Financial Planning Firm (South of England)
Location: Remote or office-based. Occasional travel required, with regular access to a South Coast office preferred.
Salary: Competitive, commensurate with experience
Contract: Permanent, full-time
About the Company
We are a Chartered financial planning firm providing holistic advice to individuals, households, trustees, and businesses across the UK.
Our services include:
1. Investments (including Socially Responsible Investing)
2. Business Financial Planning
3. Retirement Planning
4. Protection
5. Mortgages and Equity Release
They are also the Principal firm for a number of Appointed Representatives within our wider group structure.
Role Overview
This is a newly created role, reporting directly to the Head of Compliance.
As Compliance Assistant, you will play a key role in ensuring the business and its Appointed Representatives operate in line with the FCA Handbook and Conduct Rules. Your focus will be on file reviews, monitoring advice quality, and supporting compliance standards across the group.
Key Responsibilities
6. Review, assess, and monitor advice provided by Financial Planners and Appointed Representatives
7. Provide technical support to advisers where required
8. Maintain detailed and accurate compliance records, reporting any identified issues
9. Support the Head of Compliance with regulatory adherence across the business
10. Assist in reviewing, updating, and implementing compliance policies and process standards
11. Assist in the resolution of complaints and Errors & Omissions (including redress calculations)
12. Gather, record, and report relevant Management Information (MI)
13. Monitor compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice, and other FCA rules
14. Uphold Consumer Duty principles: act in good faith, avoid foreseeable harm, treat customers fairly, and support customers in achieving their financial objectives
Ideal Candidate
15. 35 years experience in a similar compliance role, or as a Financial Planner
16. Diploma in Financial Planning (R01R05 or equivalent) and/or compliance qualifications (desirable)
17. Strong knowledge of retail financial services compliance, advice, and file checking
18. Excellent attention to detail and ability to work to deadlines
19. Strong organisational skills and proactive approach to problem-solving
20. Good communication skills with confidence working across teams
21. Strong IT skills, including Microsoft Office
Benefits
22. Competitive salary (commensurate with experience)
23. Pension scheme (employer contribution)
24. Death in Service cover
25. Private Medical Insurance
26. Cycle-to-work scheme
27. 25 days holiday + 1 birthday holiday
28. Opportunities for professional growth and development
29. Collaboration opportunities with colleagues across a wider group network