Compliance Assistant

Compliance Assistant

Location: Holmes Chapel, Cheshire (Office-based initially, hybrid available following training & probation)
Salary: Up to £40,000 per annum (negotiable depending on experience)

The Opportunity

An excellent opportunity has arisen to join a well-established and highly regarded Independent Financial Planning firm based in Holmes Chapel, Cheshire.

The business has built a strong reputation over many years, supporting a niche and specialist client base and achieving steady, sustainable growth. Due to a retirement and internal promotion, they are now seeking a Compliance Assistant to join the team and work closely alongside the Compliance Officer.

This role offers a fantastic pathway into Compliance for candidates already working within an IFA environment, as well as a strong opportunity for experienced Compliance professionals looking to join a stable and supportive firm.

The position will be office-based initially to support onboarding and training, with hybrid working available following successful completion of training and probation.

The Role

You will support the Compliance Officer with the firm’s internal systems, controls, and FCA regulatory requirements, helping to ensure the business maintains the highest standards of compliance and client service.

Key Responsibilities

• Assist with FCA record-keeping requirements and regulatory deadlines

• Review adviser and paraplanner reports, suitability letters, and client communications prior to issue

• Ensure documentation meets both FCA standards and internal compliance requirements

• Proofread client correspondence and confirm accuracy and completeness of documentation

• Check client fact finds, ID verification, and regulatory documents are up to date

• Ensure all enclosures and supporting documents align with recommendations made

• Support paraplanners with review documentation and tax return checks where required

• Stay up to date with regulatory, legislative, and technical developments

• Work collaboratively with advisers, paraplanners, and administration teams to ensure positive client outcomes

About You

Our client is ideally seeking someone with IFA Compliance experience, however candidates currently working in Paraplanning or Financial Advice roles who are looking to transition into Compliance will also be considered.

You will demonstrate:

• Excellent attention to detail and accuracy

• Strong written and verbal communication skills

• Good organisational and time management skills

• A solid understanding of financial services and FCA regulation

• A proactive and team-oriented approach

Skills & Experience

• Broad knowledge of the financial services sector

• Understanding of FCA rules and record-keeping requirements

• Strong technical awareness

• Ideally qualified to Level 3 Certificate in Financial Services (or working towards)

What’s on Offer

• Salary up to £40,000 (depending on experience)

• Hybrid working available after probation

• Supportive and collaborative working environment

• Opportunity to develop a long-term career within Compliance

• Join a stable, growing and respected financial planning firm

Sector:

1. Financial Services
2. Financial Planning