Compliance Assistant - IFA

  • Location:

    Harrogate, North Yorkshire

  • Sector:

    Financial Services

  • Job type:

    Full Time

  • Salary:

    £30000 - £40000 per annum + market leading benefits

  • Contact:

    David Elders

  • Contact email:

  • Job ref:


  • Published:

    6 months ago

  • Expiry date:


  • Start date:


Compliance Assistant
£30,000 - £40,000 plus market leading benefits including generous pension, fantastic holiday allowance

A well established, successful Wealth Management organisation based in Harrogate are looking to recruit a strong compliance specialist to support the senior compliance manager within the team. The main responsibilities of the role are too provide support with all aspects of compliance and risk management within the organisation.

The role will be varied and challenging with strong training and development. Some of the key responsibilities are:

- Identify and report any regulatory or compliance risks to the compliance manager
- Manage and maintain a programme of file reviews to ensure FCA regulations and company guidelines are being adhered to
- Reviewing new FCA initiatives and their impacts on the organisation and regulatory framework
- Compiling MI and distributing results to wider business
- Supporting the Compliance Manager with any regulatory or compliance issues that may arise

This is of course only a small snapshot of the role but it's a fantastic opportunity to develop your career within a compliance function in a regulated financial planning environment. You will be surrounded by a great team who will proactively support you from day one and you will make a key contribution to the success of the business.

You must have experience in this area and ideally hold relevant industry qualifications. Unfortunately applicants with no Financial Services/IFA compliance experience will no be considered.

If you come from this sort of background and are interested in finding out more, please apply or contact David Elders in the Leeds office of Search Consultancy

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.