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:
1. 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.
2. Help maintain detailed and accurate compliance records and report any identified co...