Compliance Assistant

Location

Sandbach

Salary £35000 - £40000 TypePermanent WorkplaceOn-Site Ref89910

Recruiter 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...