Compliance Assistant & Paraplanner Support (Part Time)

TN United Kingdom; Waltham Cross; On-site; GBP 40,000 - 45,000; Part time

Job summary

An established industry player is seeking a Compliance Assistant & Paraplanner Support to join their team in Waltham Cross. This part-time role offers a unique opportunity to work in a friendly environment with a strong focus on client service. The ideal candidate will have a Level 4 Diploma and experience in compliance, assisting the Compliance Director while also supporting the Paraplanning team. Enjoy flexible working hours, private medical insurance, and a generous holiday package while contributing to the success of a reputable firm known for its high client retention and growth.

Benefits

Company-wide annual bonus

Flexible working hours

Private Medical Insurance

8% employer pension contribution

25 days holiday plus bank holidays

Qualifications

• Experience in financial planning with compliance background.
• Knowledge of money laundering and due diligence.

Responsibilities

• Support compliance, money laundering, and data protection.
• Conduct due diligence of funds and providers.

Skills

Compliance Knowledge

Money Laundering Awareness

Data Protection

Due Diligence

Technical Financial Services Understanding

Education

Diploma Level 4 Qualification

Tools

Xplan

Job description

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Compliance Assistant & Paraplanner Support (Part Time), Waltham Cross

Client: Heat Recruitment

Location: Waltham Cross, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Reference:

e71b5bf5a8d8

Job Views:

11

Posted:

26.04.2025

Expiry Date:

10.06.2025

Job Description:

Location: WALTHAM CROSS

Salary: £40,000 - £45,000

Type: Permanent

Workplace: Hybrid

Ref: 87657

This is a highly reputable IFA practice that offers holistic financial planning and discretionary fund management services to HNW clientele. The practice has a range of loyal clients that wins business through word-of-mouth, referrals, and repeat clients, and has experienced consistent business growth over the last couple of years with high client retention.

The firm has a friendly working environment, reflected in low staff turnover, with most staff having worked there for many years.

This position will suit a Level 4 Diploma qualified individual with a Compliance background, working alongside the Compliance Director to provide high service levels to clients. It will also involve some crossover with the Paraplanning team to assist with non-client facing tasks.

Role Responsibilities:

1. The position will provide support in compliance, money laundering, and data protection areas of the firm.
2. Undertake due diligence of funds and providers.
3. Post-sale file checks on investments, pensions, insurance products.
4. Data reporting and management.
5. Aid training and competence of staff based on data and information gathered.
6. Ensure delivery of GDPR requirements.
7. Undertake annual Sanctions Checks on the client bank.
8. Produce AML/Fraud/Consumer Duty reports to aid board reporting.
9. Implement new regulation changes.

Where required, support will also be provided to the Paraplanning team (training provided), including:

1. Preparation of client valuations & asset allocations.
2. Assisting with meeting paperwork.
3. Preparation of quotes and provider/product research.

The ideal candidate will:

1. Have experience working within Financial Planning in a Compliance position, with knowledge of money laundering and due diligence.
2. Hold a Diploma Level 4 qualification at minimum.
3. Have a comprehensive understanding of technical aspects of financial services and products.
4. Be familiar with systems such as Xplan or similar, and investment platforms.
5. Live locally to Waltham Cross.

Company Benefits:

• Company-wide annual bonus.
• Flexible working hours and additional days considered.
• Private Medical Insurance.
• 8% employer pension contribution without matching.
• 40% of working week WFH.
• 25 days holiday plus bank holidays (FTE).