Kick-start your compliance career with a respected financial services firm as a Compliance Administrator. Supporting the Compliance Officer and wider team, you'll help ensure the business operates to the highest regulatory standards while developing your own skills in a supportive environment.
Benefits:
- Salary: Up to £30,000 (DOE)
- FULLY OFFICE BASED IN NEWCASTLE-UNDER-LYME
- Hybrid available but only in Warwick & Edgbaston (3 days office/2 days WFH)
- 31 Days Holiday (Inclusive of Bank Holidays)
- Pension auto-enrolment scheme - Salary sacrifice available
- Group Life Cover (x4 salary) & Income Protection
- Company sick pay
- Employee Assistance Programme & Financial Wellbeing Support
- Monday to Friday - 08:30 to 17:00
- Locations: Warwick, Edgbaston, Newcastle-under-Lyme
Role & Responsibilities:
- Support the Compliance Officer and wider team with monitoring, reporting, and reviews
- Perform risk assessments and ensure compliance with laws, regulations, and internal policies
- Assist with file checking, adviser observations, and quarterly 1:1 meetings
- Review marketing materials and client documentation for regulatory compliance
- Support with T&C plans, competency testing, and annual FIT assessments
- Help prepare for audits, complete reports, and follow up on actions
- Investigate issues, escalate concerns, and assist with complaints resolution
- Promote a culture of compliance across the business through training and collaboration
Required Skills & Experience:
- Previous experience in financial services, ideally within an IFA environment
- Previous experience working with compliance based roles
- Strong analytical and problem-solving skills
- Organised with the ability to plan, prioritise, and meet deadlines
- Confident communicator and team player
- Adaptable, dependable, and committed to delivering quality work
- Honest, proactive, and keen to develop in a compliance-focused role
Apply now and take your first big step in compliance!
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