Compliance Assistant – Financial Services



Compliance Assistant – Financial Services          J-468

Cheshire          c£25k    Full Time Equivalent

Reduced / Flexible Working Hours

IFA Practice in Cheshire seeks an experienced Compliance Assistant to work alongside their Compliance Officer to support the smooth running of this professional practice.

The firm currently employ 23 staff across two offices, they have a very low staff turnover and a professional yet very friendly atmosphere. The team are all well qualified, trained and experienced, and are knowledgeable with regards to compliance and what is expected of them.

We are very interested to speak with individuals who have a good understanding of file checking and technical compliance procedures, either with an IFA or Compliance outsourcing company.

The successful applicant will be responsible for supporting a wide range of compliance matters, including;

  • Keeping up-to-date with regulatory developments.
  • Advise senior management in a timely manner of FCA related and other regulatory issues/Any changes to the FCA rules.
  • Ensure the firm continues to meet its threshold conditions at all times.
  • Produce an annual compliance report for senior management.
  • Manage the firm’s relationship with the FCA.
  • Ensure that the firm can respond in a timely basis to requests for information from the FCA.
  • Make all appropriate notifications to the FCA (relevant notifiable changes).
  • Comply at all times with the firm’s Compliance and Training & Competence procedures.
  • Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Code of Practice for approved persons and rules
  • Compliance Monitoring
  • Systems and Controls
  • Complaints Handling
  • Financial Promotion
  • Recruitment
  • Training & Competence
  • Approved Persons

This is a technical administration/support role, and is pivotal to the high quality service that the business prides its self on.

Qualifications are supported. The successful applicant must have a very strong eye for detail and be able to hit the ground running quickly. If you would enjoy working reduced/flexible hours, for a highly regarded IFA Practice in a beautiful office in Cheshire.

To apply for this position please contact us for a discussion or email your CV to Diana Sproston here.

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