Compliance Associate

TN United Kingdom; Birmingham; On-site; GBP 30,000 - 50,000; Full time

Job summary

An established financial planning firm is seeking a detail-oriented Compliance Associate to support its regulatory obligations. This role offers a fantastic opportunity for individuals with experience in wealth management or financial planning to transition into compliance. With comprehensive training and clear progression opportunities, you will work closely with the Head of Compliance, managing internal controls, regulatory reporting, and liaising with external stakeholders. If you're eager to develop a long-term career in compliance within a supportive team environment, this is the perfect opportunity for you.

Benefits

Comprehensive training and mentoring

Supportive team environment

Career progression opportunities

Competitive salary and benefits package

Qualifications

• Experience in a wealth management or financial planning environment.
• Strong organisational skills and attention to detail.

Responsibilities

• Support the firm's regulatory obligations and internal controls.
• Assist with FCA reporting and compliance monitoring.

Skills

Organisational Skills

Attention to Detail

Written Communication

Verbal Communication

Self-starter

Education

Compliance or Financial Planning Qualification

Job description

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Location

Birmingham

Salary: Competitive | Type: Permanent | Workplace: On-Site | Ref: 88057

Compliance Associate Wealth Management

Are you looking to build a long-term career in compliance within a professional wealth management environment? We are currently working with a well-regarded and growing financial planning firm seeking a detail-oriented and proactive Compliance Associate to join their team.

This is a fantastic opportunity for someone with experience in a support or administration role within the wealth management or financial planning sector who is looking to step into compliance. Full training and ongoing guidance will be provided, with clear progression opportunities towards a Compliance Officer role.

The Role

Working closely with the Head of Compliance, you'll support the firm's regulatory obligations, ensuring policies, procedures, and standards are met across all departments. Your responsibilities will include managing internal controls, regulatory reporting, file reviews, training records, complaints procedures, and ongoing monitoring activities, all aimed at maintaining a robust compliance framework.

You will also contribute to:

• Assisting with FCA reporting and compliance monitoring
• Supporting the oversight of appointed representatives (if applicable)
• Helping coordinate training & competence activities
• Maintaining accurate records, registers, and management information
• Liaising with external stakeholders, including third-party compliance providers and the FCA
• Keeping up to date with regulatory changes and contributing to process improvements

What We're Looking For

• Experience in a wealth management or financial planning environment, ideally in admin, support, or operational roles
• Strong organisational skills and attention to detail
• A self-starter with a willingness to learn and take ownership
• Ideally working towards a compliance or financial planning qualification (not essential)
• Excellent written and verbal communication skills
• A desire to develop a long-term career in compliance

What's on Offer

• Comprehensive training and mentoring
• Supportive and collaborative team environment
• Exposure to a wide range of compliance duties
• Career progression opportunities in a growing business
• Competitive salary and benefits package

If you're ready to take the next step in your compliance career and join a forward-thinking financial planning firm, we'd love to hear from you.