Back to search
Compliance Assistant, East Hertfordshire
Up to £40k
Hybrid working, 1-2 days home working
This role is for those who have experience working in financial services. The firm are flexible whether you are someone with plenty of experience in compliance, or whether you are earlier on in your financial services career, perhaps as an administrator, looking for a compliance based career. If either of these is you and you're looking for a quality firm that can offer a good salary, benefits and progression path, then please apply!
The Business
The firm has been running for over 10 years, so are an established IFA in the area. They are a whole of market firm that puts the client at the centre of everything they do, with the ultimate aim of helping their client reach their financial goals. The firm is a small to medium sized business with a couple of offices, but are headquartered in East Hertfordshire. They have lots of plans in the coming years and as part of that journey, they need to add another compliance member to the team.
The Role
This role will see you working alongside the compliance manager and assisting them to support the firm's compliance needs. This will include a wide range of tasks/duties, including: T&C supervision, monitoring advice outcomes by completing file reviews, gathering management information, consumer duty implementation, annual risk assessments, advice/sale practice reviews, and more. It will be a varied role across the business and you'll be working closely with the compliance team.
Benefits
- A salary range of £28,000 - £40,000 depending upon experience
- Hybrid working available
- Exam Support
- Holiday/pension scheme
- The firm can be flexible and are happy to discuss benefits
Requirements
- A base level of compliance knowledge or interest in the compliance field
- Attention to detail
- Good communication skills
- Willingness to take industry qualifications
If this role sounds of interest, please apply now!
