Compliance Assistant / file checker - hybrid/remote

Job Title: Compliance Assistant

Location: Remote or office-based position. Travel to Partner Firms will be required on occasion, with the office in Poole being the most regular location.

Experience: 3-5 years’ experience in a similar role or as a Financial Planner

Salary: upto £40,000

Qualifications: Diploma in Financial Planning (R01–05 or equivalent) / Compliance Qualifications – desirable

Company Description: A Chartered financial planning firm based in the South of England providing holistic financial planning and advice to individuals, households, trustees, and businesses. With a firm belief that financial planning is for everyone and should be tailored to meet financial goals and objectives, they provide advice in areas such as Investments (including Socially Responsible Investing), Business Financial Planning, Retirement Planning, Protection, Mortgages, and Equity Release. The firm is also the Principal firm for a number of Appointed Representatives owned by the parent company.

Role Overview: This is an exciting new role within the business, solely focused on Financial Planning advice and file reviews. Reporting to the Head of Compliance, the candidate will support in ensuring that the business operates in line with the requirements of the FCA Handbook as well as the Conduct Rules that apply.

Key Responsibilities:

• Assist in the review, assessment, and monitoring of advice provided by the firm’s Financial Planners and those of its Appointed Representatives and other Group partner firms.
• Ensure detailed and accurate compliance records are maintained and report any identified compliance issues.
• Support the Head of Compliance in ensuring the firm operates in accordance with all relevant regulation and legislation.
• Support the review, update, and implementation of policies and process standards.
• Assist with the gathering, recording, and reporting of relevant Management Information.
• Monitor the firm’s compliance 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 procedures of the firm at all times and be responsible for the proactive and positive implementation of Consumer Duty, to pay due regard to the interests of customers and treat them fairly, act in good faith towards retail customers, avoid causing foreseeable harm, and enable and support retail customers to pursue their financial objectives. Above all, the aim is to deliver good outcomes for customers at all times.

Ideal Candidate:

• Knowledge & experience of Retail Financial Services Compliance and file checking.
• Excellent attention to detail.
• Ability to meet hard deadlines.
• Excellent organisational skills.
• Good communication skills.
• Proactive attitude to resolving issues.
• Good level of skill with Microsoft Office applications and confidence with using IT systems.

Benefits (flexible for the right candidate):

• Competitive salary, commensurate with experience.
• Pension scheme (3% employer contribution) and Death in Service.
• Cycle to work scheme.
• 25 days holiday and an additional ‘birthday’ holiday (one day).
• Opportunities for continuous professional growth and development.
• Opportunity to work on initiatives with colleagues from the wider group.