Compliance Assistant

2 months ago


Sandbach, United Kingdom Heat Recruitment Full time

An exciting opportunity has arisen for an experienced compliance professional to join a highly-reputable financial planning firm in Cheshire. You will be based out of their Sandbach office (one of their two offices) and will working alongside two other membersin the compliance department.
The main focus of the role will be to ensure reports, letters and recommendations prepared by the adviser/paraplanner meet with the firm’s standards and that of the FCA’s rules & regulations.
There is longer term progression on offer in terms of taking over T&C responsibilities and potentially managing the compliance department / holding the SMF16 & SMF17 functions.
**What's on offer?**
- hybrid working policy upon successfully completing probation
- longer-term career progression
- support with financial qualifications

**What next?**
Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.
**Synonyms**: IFA, financial planning, wealth management, financial advice, financial adviser, financial advisor, compliance executive, compliance officer, compliance manager, compliance director, compliance monitoring, file review, T&C, complianceconsultant, FCA, compliance administrator, compliance associate


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