Compliance Assistant

  • Job Reference: 997
  • Date Posted: 28 December 2021
  • Recruiter: Independent Resourcing Consultancy
  • Location: Ellesmere Port
  • Salary: £26,000 to £30,000
  • Sector: Administration, Compliance
  • Job Type: Permanent
  • Contact: Jon Minns
  • Email:

Job Description

IRC is delighted to be recruiting for an experienced Compliance Assistant on behalf of our client, an international provider of financial planning who provides financial advice for UK residents and global ex-pats.

Relevant skills and knowledge

Administration experience

An understanding of financial services regulation

Knowledge of the advice process preferable

Financial service qualifications preferable

Good written English

Good knowledge of Excel/PowerPoint/word

Attention to detail

General responsibilities

Develop and maintain knowledge of the regulatory environment by keeping up to date with regulatory bulletins/updates.

Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.

Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times.

Encourage appropriate ethical standards and a culture compliant with the FCA's TCF objectives.

Maintain accurate, detailed and up to date compliance records for the Compliance department, maintaining strict version control where necessary.

Prepare management information reports.

Arrange superviser meetings such as for 1:1’s/training/induction/observations and assist in their preparation

Monitor complaint handling activities to ensure timeframes are not exceeded

Obtain information from a variety of sources to assist with complaint handling/investigations

Liaise with PI insurers and any other 3rd party

Undertake monitoring/auditing activities on a monthly basis.

Monitor adviser SPS and Data Protection registration.

Collate KPI data on a monthly, quarterly and annual basis

Assist with annual Fit and Proper monitoring.

Liaise with colleagues in all departments to ensure good outcomes

Respond to all incoming communications/correspondence 

Any other tasks required to ensure efficient running of the compliance department.


In return you will receive an attractive salary and benefits package as well as support in completing further professional qualification.