Compliance Assistant Financial Planning Manchester

Compliance Assistant           Financial Planning                              J869


£ 22,000 – £26,000

Opportunity for an individual to join a small but highly experienced Manchester team in the position of a Compliance Assistant.

The role will involve working closely with the Compliance Officer and the rest of the team to ensure that the firm fulfils its regulatory requirements and pro-actively works to achieve the highest professional standards. This will include:

– Performing data cleansing exercises;

– Management Information reporting;

– Updating and improving internal procedures and training;

– Completing FCA returns;

– Obtaining quotes for Professional Indemnity Insurance.

The primary function will be compliance, and in addition, the role will involve providing paraplanning support to the wider Manchester team, as workloads require. (Training will be given on the paraplanning side of the role).

This will include:

– Corresponding with clients;

– Preparing client valuations;

– Client portfolio analysis and research;

– Writing suitability reports;

– Taking notes in client meetings.

Paraplanning experience is not essential, but candidates must have experience in a financial services compliance-related role. This role will suit someone who is looking to develop their financial services career in compliance, as the paraplanner support element is incidental. The candidate must be able to demonstrate the following essential skills:

– Attention to detail;

– Analytical and problem solving skills;

– Self-motivation and the ability to manage a varied workload;

– Excellent verbal and written communication skills;

– Team working skills.

Experience in any of the following areas would also be an advantage:

– Data cleansing and spreadsheet analysis;

– File auditing or proof reading;

– Management Information reporting;

– Use of Intelligent Office;

– Completing FCA returns;

– Creating workflows or writing internal procedures;

– Professional financial services qualifications.

Full one-to-one training will be provided and the company also supports study throughout the CII series of professional examinations.

This is a full time role (37.5 hours per week). Hours of work will be 8.30am to 5pm Monday to Friday, with one hour for lunch.

The role will be based in Manchester.

Benefits package:

Annual salary of £22,000 to £25,000, depending on experience.

Discretionary annual year-end bonus.

22 days’ paid holiday per annum, increasing by one day for every year of service after the first two complete calendar years, up to a maximum of 27 days. Plus bank holidays, plus a discretionary additional two days (in return for two days) over the Christmas period.

Company pension scheme with employer contributions of 3% of qualifying earnings (5% employee contributions).

Death in service cover of four times salary.

CII/ PFS membership fees paid.

The company will pay for study materials and the first exam sitting for appropriate CII professional examinations. Study leave is also available on a sliding scale.


Please enquire confidentially using the details below quoting reference J869 , alternatively feel free to connect with me Diana Sproston on LinkedIn,

To apply for this position please call the office on 0161 973 0133 or email

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