Compliance Assistant

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

Job summary

A growing financial planning firm in the UK is seeking a Compliance Assistant to join their collaborative team. This role offers a clear pathway to becoming a Compliance Officer. Responsibilities include providing administrative support to the compliance function, assisting with compliance tasks, and promoting a positive compliance culture. Ideal candidates will have experience in financial services and strong attention to detail.

Qualifications

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

Responsibilities

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

Skills

Attention to detail

Proactivity

Strong communication skills

Organisational skills

Job description

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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.