Location
Sandbach
Salary £35000 - £40000 TypePermanent WorkplaceOn-Site Ref89910
Recruiter Managing This Role
Compliance Assistant
Location: Holmes Chapel (Office Based)
Salary: Up to £40,000
An established Independent Financial Advisory firm is seeking a Compliance Assistant to join their team. This is an office-based role, supporting the Compliance Officer and assisting with all aspects of internal systems, controls, and FCA regulatory requirements.
Key Responsibilities
1. Review adviser and paraplanner reports to ensure compliance with FCA rules and internal standards
2. Check client documentation including fact finds and ID verification
3. Assist with FCA record-keeping and regulatory deadlines
4. Support paraplanners with tax return and review documentation checks
5. Ensure clients are treated fairly and firm policies are adhered to at all times
Requirements
6. Strong understanding of FCA regulations and record-keeping requirements
7. Previous experience within financial services (IFA environment preferred)
8. Excellent attention to detail and written communication skills
9. Level 3 qualified (Certificate in Financial Services or equivalent)