Opportunity Description
Sandbach
Salary £35000 - £40000 TypePermanent WorkplaceOn-Site Ref89910Recruiter Managing This Role
Compliance Assistant
Location: Holmes Chapel (Office Based)
Salary: Up to £40,000
An established Independent Financial Advisory firm is seeking a Compliance Assistant to join their team. This is an office-based role, supporting the Compliance Officer and assisting with all aspects of internal systems, controls, and FCA regulatory requirements.
Key Responsibilities
Review adviser and paraplanner reports to ensure compliance with FCA rules and internal standards
Check client documentation including fact finds and ID verification
Assist with FCA record-keeping and regulatory deadlines
Support paraplanners with tax return and review documentation checks
Ensure clients ar...
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