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Compliance Assistance

  • Salary: £30000 - £35000 per annum + benefits package
  • Location: Cheshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    14 Jun 2021
  • Job reference: 35791

My client is a successful UHNW Financial Planning firm in South Manchester / Cheshire and they are currently looking for a Compliance Assistance to join their team.

As the Compliance Assistant, you will report to the Compliance Director and you will play a key role in ensuring that the firm is able to achieve its growth objectives whilst adhering to its regulatory requirements.

You will provide guidance and support to the leadership team and will be the 'go-to' person for all compliance related queries.

Your principal accountabilities will be…

  • Developing great relationships with the advisory team to enable you to work collaboratively and positively
  • Providing feedback, coaching and training to advisers and the advice delivery team
  • Documenting, maintaining and monitoring all compliance processes, making sure that they are easy to follow and adhered to by all
  • Collating, input and disseminate management information to the leadership team
  • Assisting the leadership team with both minor and major projects
  • Undertaking file reviews, client satisfaction analysis, and analysing advice trends
  • Keeping the wider team up to date with regulatory changes
  • Monitor and report on progress against company key performance indicators (KPIs)

About you…


  • Excellent organisational skills
  • Qualified to QCF Level 4 (Diploma) level or above
  • Previous experience of working within a compliance role
  • An in-depth understanding of compliance issues and regulatory requirements within an advisory practice
  • A broad knowledge of financial products
  • Good IT skills and experience of analysing data and presenting results
  • Excellent communication skills


  • Experience of dealing with customer complaints
  • Experience of using a back office system to collate MI (we use Curo)
  • Knowledge of the compliance and regulatory issues affecting investment management firms


  • Salary of £30-£35k dependent upon experience and qualifications
  • Discretionary annual bonus
  • 25 days holiday + bank holidays
  • 3 additional self-improvement days
  • Group personal pension provision - matched contributions up to 5% of salary (10% total)
  • Death in service benefits (4 x basic salary)
  • Childcare vouchers
  • Health-care scheme (cash-back scheme)
  • Bike to work scheme
  • Examination support (study leave, financial support and bonuses)

For more information please contact Graeme Hyland on 07896 933622.

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