Wealth Management Admin & Compliance Specialist

HGH Wealth Management Ltd - Independent Financial Advisers; York and North Yorkshire; On-site; GBP 26,000 - 34,000; Full time

Benefits offered by this job

Study support

Cycle to work scheme

Supportive culture

Recognition and development

Job summary

HGH Wealth Management Ltd - Independent Financial Advisers is seeking a proactive administrator to support Financial Advisers and Paraplanners. You will process new business, manage LOAs, prepare client packs and assist with servicing while maintaining FCA compliance and accurate records.

Experience in financial services admin, KYC/AML checks, and proficiency with back-office systems will help you excel. A detail-oriented, multi-tasking mindset and strong communication are essential.

Qualifications

• Experience in Financial Planning, Wealth Management or IFA environments.
• Proven ability to handle KYC/AML checks and regulatory requirements.
• Strong organisational skills and attention to detail.

Responsibilities

• Processing new business applications across pensions, investments and protection products.
• Managing LOAs and obtaining information from providers.
• Preparing client review packs and supporting ongoing servicing.
• Liaising with clients, providers, advisers and paraplanners to progress cases.
• Maintaining accurate client records and updating back-office systems.
• Conducting KYC/AML checks and ensuring records are up to date.
• Supporting AML processes, including verification and due diligence.
• Assisting with fund switches, withdrawals and transfers.
• Monitoring outstanding requirements and ensuring timely progress.
• Ensuring administration aligns with FCA regulations and company procedures.

Skills

Financial administration

KYC/AML checks

Client servicing

Regulatory compliance

Organisational skills

Communication

Multitasking

Education

A-Levels or equivalent

Tools

Intelligent Office

XPLAN

Job description

HGH Wealth Management Ltd - Independent Financial Advisers is seeking a proactive administrator to support Financial Advisers and Paraplanners. You will process new business, manage LOAs, prepare client packs and assist with servicing while maintaining FCA compliance and accurate records.

Experience in financial services admin, KYC/AML checks, and proficiency with back-office systems will help you excel. A detail-oriented, multi-tasking mindset and strong communication are essential.