Compliance Assistant

IDEX Consulting; England; On-site; GBP 25,000 - 35,000; Full time

Job summary

A respected financial planning firm in Warwickshire is seeking a detail-oriented Compliance Assistant to join their collaborative team. This role involves supporting compliance functions and offers clear growth potential toward becoming a Compliance Officer. Ideal candidates will have some experience in financial services and a strong grasp of FCA regulations.

Qualifications

• Experience in financial planning or wealth management preferred.
• Administrative experience in Financial Services is a bonus.
• Understanding of FCA regulations is beneficial.

Responsibilities

• Provide administrative support to the compliance team.
• Assist with file checking and compliance reporting.
• Monitor adherence to FCA rules and internal procedures.

Skills

Attention to detail

Communication

Organizational skills

Positive service-led approach

Job description

Are you a detail-oriented, proactive individual looking to build a career in compliance within a growing financial planning firm? This is an exciting opportunity to join a small, collaborative team of three as a Compliance Assistant, with a clear pathway to becoming a Compliance Officer in the future.

Working exclusively with IDEX, our client - a respected financial planning business based in Warwickshire is seeking a motivated professional to support their compliance function and help maintain their high standards across all regulatory frameworks.

What You'll Do:

• Provide day-to-day administrative support to the compliance team.
• Assist with file checking, risk assessments, adviser observations and compliance reporting.
• Monitor and support adherence to FCA rules, Consumer Duty, and internal procedures.
• Help maintain policies, logs, and training records.
• Assist with complaint handling, regulatory audits, and firm-wide compliance communications.
• Contribute to embedding a positive compliance culture across the business.

What We're Looking For:

• Ideally, experience within a financial planning or wealth management environment.
• Previous administrative experience in Financial Services - compliance experience a bonus.
• Strong understanding (or appetite to learn) about FCA regulations and the responsibilities of Financial Advisers.
• Detail-focused with high levels of accuracy and confidentiality.
• Positive, service-led approach with a willingness to take initiative.
• Strong communication and organisational skills.

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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.