Compliance Assistant – Financial Planning
📍 Warwickshire | 🕒 Full-time | 🎯 Exclusive to IDEX
Are you a detail-oriented, proactive individual looking to build a career in compliance within a growing financial planning firm? This is an exciting opportunity to join a small, collaborative team of three as a Compliance Assistant, with a clear pathway to becoming a Compliance Officer in the future.
Working exclusively with IDEX, our client a respected financial planning business based in Warwickshire is seeking a motivated professional to support their compliance function and help maintain their high standards across all regulatory frameworks.
What You’ll Do:
* Provide day-to-day administrative support to the compliance team.
* Assist with file checking, risk assessments, adviser observations and compliance reporting.
* Monitor and support adherence to FCA rules, Consumer Duty, and internal procedures.
* Help maintain policies, logs, and training records.
* Assist with complaint handling, regulatory audits, and firm-wide compliance communications.
* Contribute to embedding a positive compliance culture across the business.
What We’re Looking For:
* Ideally, experience within a financial planning or wealth management environment.
* Previous administrative experience in Financial Services – compliance experience a bonus.
* Strong understanding (or appetite to learn) about FCA regulations and the responsibilities of Financial Advisers.
* Detail-focused with high levels of accuracy and confidentiality.
* Positive, service-led approach with a willingness to take initiative.
* Strong communication and organisational skills.