Kick-start your compliance career with a respected financial services firm as a Compliance Administrator. Supporting the Compliance Officer and wider team, you'll help ensure the business operates to the highest regulatory standards while developing your own skills in a supportive environment.
Benefits:
Salary: Up to £30,000 (DOE)
FULLY OFFICE BASED IN NEWCASTLE-UNDER-LYME
Hybrid available but only in Warwick & Edgbaston (3 days office/2 days WFH)
31 Days Holiday (Inclusive of Bank Holidays)
Pension auto-enrolment scheme - Salary sacrifice available
Group Life Cover (x4 salary) & Income Protection
Company sick pay
Employee Assistance Programme & Financial Wellbeing Support
Monday to Friday - 08:30 to 17:00
Locations: Warwick, Edgbaston, Newcastle-under-Lyme
Role & Responsibilities:
Support the Compliance Officer and wider team with monitoring, reporting, and reviews
Perform risk assessments and ensure compliance with laws, regulations, and internal policies
Assist with file checking, adviser observations, and quarterly 1:1 meetings
Review marketing materials and client documentation for regulatory compliance
Support with T&C plans, competency testing, and annual FIT assessments
Help prepare for audits, complete reports, and follow up on actions
Investigate issues, escalate concerns, and assist with complaints resolution
Promote a culture of compliance across the business through training and collaboration
Required Skills & Experience:
Previous experience in financial services, ideally within an IFA environment
Previous experience working with compliance based roles
Strong analytical and problem-solving skills
Organised with the ability to plan, prioritise, and meet deadlines
Confident communicator and team player
Adaptable, dependable, and committed to delivering quality work
Honest, proactive, and keen to develop in a compliance-focused role
Apply now and take your first big step in compliance!
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