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Compliance Assistant

£20000 - £23000 plus benefits

We are representing a well-established Chartered firm of Financial Planners who have offered advice in pensions and investments for more than 35 years. The company delivers innovative, bespoke, and tailored financial planning solutions for clients.  

For further information read on! Or get in touch today to discuss.
Overall scope of the job
  • Under the training and guidance of the Compliance Manager, you will support the team to meet regulatory requirements in respect of compliance monitoring controls for the Business 
  • Maintain records that meet the requirements of the firm and the regulator
Main tasks
Provide recording and statistical data obtained from a variety of sources to support the various compliance functions. To help ensure that the company complies with the FCA regulations, with legislation relating to the prevention of money laundering, financial crime, and fraud. Including:
  • Client money
  • Complaints
  • Data protection 
  • Financial reports and resources, e.g. GABRIEL, 
  • Professional indemnity insurance
  • Training and Competence
  • Senior Managers and Certification Regime
  • Maintain analyse and report data from a range of compliance registers. 
  • Data required to support the investigation of complaints
  • Continuous Professional development records (CPD)
  • Financial Conduct Authority reporting requirements
  • Meeting notes recording and analysis
  • File checks recording
  • Daily Client Money Reconciliation
Maintain records and collate Management Information (MI) and Training & Competence
  • New business and review meeting service standards
  • Compliance Team Data Recording
  • Assist with the preparation and update of individual T&C files
  • Create and maintain testing on CII Assess
These are the initial tasks to be undertaken within the role.  It is envisaged that this is a growing role and that once competent in the above duties the individual will have additional capacity to assist and support the compliance manager, particularly in the areas of data recording/ reporting and project work. 
Hours of Work and Employee Benefits
  • Full-time position
  • 12 months fixed term contract initially
  • Office based 
  • £20,000 to £23,000 dependent on relevant knowledge and experience
  • Discretionary bonuses
  • 2 x salary life assurance
  • Pension; 5% employer contribution, increasing incrementally in recognition of service.  Salary sacrifice scheme available.
  • Private Medical Insurance – essentials cover
  • 24 days holiday initially, increasing with service
  • Free on-site parking


Educated to A level standard (or equivalent knowledge gained through experience)
Knowledge, Skills and Experience
  • At least 2 years’ experience of working in an administrative role in a regulatory environment.
  • Basic knowledge of FCA guidelines and principles
  • Experience of working in the compliance field would be advantageous
  • Good attention to detail
  • Good IT / keyboard skills
  • Ability to communicate effectively written and verbal. 
  • Ability to create and maintain accurate paper and computer-based records
  • Organisation skills
  • Good telephone manner
  • Good letter and report writing skills
  • Knowledge of Adviser Office back office system
Employment type: 
Fixed Term / Temporary Contract
Financial Planning
Reference Number: