Compliance Associate

5 days ago

Bath, Bath and North East Somerset, United Kingdom Capio Recruitment Full time £30,000 - £40,000 per year

Job Title:
Compliance Associate

Location:
Bath

Salary:
Up to £40,000 (DOE)

This is an exciting opportunity for someone looking to take the next step in their financial services career by joining a growing and professional Wealth Management firm in Bath.

This role would suit either an experienced Paraplanner who's looking to transition into compliance, or someone already working in a compliance capacity within a financial planning or wealth management business. You'll work closely with the Head of Compliance to support all aspects of the firm's regulatory, monitoring, and training functions.

The Role:

  • Support the Head of Compliance with monitoring, oversight, and regulatory reporting
  • Assist in maintaining policies, procedures, and the Compliance Monitoring Plan
  • Conduct file reviews to ensure adherence to FCA requirements and internal standards
  • Contribute to the firm's T&C framework and support adviser competence assessments
  • Help manage complaints, GDPR issues, and regulatory returns
  • Maintain strong relationships with internal teams and external compliance partners
  • Contribute to the continuous improvement of compliance processes and governance

The Required Skills & Experience:

  • Previous experience in Financial Planning, Paraplanning, or Compliance within an IFA/Wealth Management firm
  • Strong understanding of FCA rules, compliance principles, and the advice process
  • Excellent attention to detail and ability to work methodically
  • Strong communication and interpersonal skills
  • Level 4 Diploma in Financial Planning (or working towards) desirable
  • Interest in developing towards advanced qualifications

What's on Offer:

  • Salary up to £40,000 depending on experience
  • Hybrid/flexible working
  • Discretionary bonus scheme
  • Full training and development plan with clear progression pathway
  • Opportunity to work closely with senior management and develop into a Compliance Executive role
  • Collaborative, professional, and supportive working environment

To discuss this opportunity further, please contact one of our Financial Planning specialists at Capio Recruitment.

"INDSBWEA"

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