Compliance Assistant

  • Location


  • Sector:

    Financial Planning

  • Job type:


  • Salary:

    £30000 - £35000 per annum + plus exceptional benefits and bonus

  • Contact:

    Michael Groves

  • Contact email:

  • Job ref:


  • Published:

    26 days ago

  • Expiry date:


  • Consultant:

    Michael Groves

Are you an experienced Financial Service Professional seeking a new role in well-established and rapidly growing company? If so, we have a new opportunity to join a friendly Compliance team for a leading Global Wealth Planners working in a home-based capacity with occasional visits to the office.

This positive team are responsible for maintaining compliance programs, reviewing company policies, monitoring financial planners, and advising the senior team on potential risks to clients as well as the business. Their mission is to ensure the company functions in a legal and ethical manner while meeting its business goals.

About the role:

  • File checking pre and post advice by the Financial Planners
  • Spot checking annual reviews
  • Providing feedback to Financial Planners
  • Reporting any themes or business risks
  • Answering queries from across the business
  • Additional compliance monitoring through reports/data derived from CURO
  • Support with complaints investigations and responses
  • Due diligence on new and existing introducers when required
  • Support for checking advertising and publications is compliant
  • Contribute to quarterly and annual board reports
  • Issuing communications to colleagues and liaising with other teams within the group
  • Ad-hoc project work
  • Research and reading to remain current with industry and legislative changes
  • Ensure that fair treatment of customer requirements is met by the company

Your work will be UK regulatory centric but may expand to other regions over time and with full training and support.

About the role holder:

The successful candidate will possess characteristics and skills in line with our company values of excellence, passion, and a one team approach. They will be able to manage their own workload and be solution led, have good communication skills and be adaptable to the requirements of the role, team, and business.

Essential Criteria:

  • Level 4 Diploma Qualified (or close to completing)
  • A clear understanding of financial services regulations and FCA principles
  • Experience in compliance monitoring, specifically file checking
  • Conversant with Microsoft Office products
  • High level of computer literacy generally (learning new software)
  • Good communication skills, verbal and written

Desirable Criteria:

Experience of CURO

Experience of CashCalc


  • 30 days holiday
  • Christmas holiday
  • Birthday holiday
  • Pension scheme contribution
  • Permanent health insurance
  • Life insurance
  • Agile working
  • Family friendly benefit enhancements

A first class opportunity to join a fast-growing global wealth manager offering genuine long term career development opportunities, a highly flexible employee focussed working environment along with a fully comprehensive benefits package.