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*
* Review adviser and paraplanner reports to ensure compliance with FCA rules and internal standards
* Check client documentation including fact finds and ID verification
* Assist with FCA record-keeping and regulatory deadlines
* Support paraplanners with tax return and review documentation checks
* Ensure clients are treated fairly and firm policies are adhered to at all times
Requirements
* Strong understanding of FCA regulations and record-keeping requirements
* Previous experience within financial services (IFA environment preferred)
* Excellent attention to detail and written communication skills
* Level 3 qualified (Certificate in Financial Services or equivalent)