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