Compliance Support Assistant

Ref: 121-JH

Role: Compliance Support Assistant

Location: Sheffield

Salary: £28,000 – £35,000 Per Annum DOE

Hours: Full-time

Benefits:

• Study support for professional qualifications
• 25 days holiday + bank holidays (with option to purchase additional days)
• Pension scheme
• Health Cash Plan
• Life assurance (4x salary)
• Eye tests
• Social events
• Volunteering opportunities
• Staff discounts on services including Wills, LPAs and residential mortgages

The Company

Our client is a well-established financial services organisation with a strong reputation for delivering high-quality advice and maintaining excellent compliance standards. Due to continued growth, they are now looking to recruit a Compliance Support Assistant to join their team.

The Role

Our client is recruiting for a Compliance Support Assistant to support regulatory reporting, compliance processes and client administration. This is a varied position combining compliance responsibilities with operational and administrative support, ensuring smooth day-to-day operations and adherence to FCA regulations.

Duties will include:

• Extracting and collating data from internal systems for regulatory, management and performance reporting
• Supporting preparation of FCA reports including PROD, complaints MI and Consumer Duty metrics
• Assisting with KPI tracking and adviser performance reporting
• Maintaining compliance registers including breaches, gifts and training & competence
• Submitting client files for external compliance review and tracking outcomes
• Following up on feedback and ensuring actions are completed
• Maintaining adviser supervision records including CPD and competency documentation
• Supporting internal audits and quality checks
• Assisting with improving internal processes and efficiencies
• Providing meeting support including note taking and action tracking
• Supporting project work such as system improvements and data cleansing
• Coordinating client meetings and maintaining accurate system records
• Creating and managing electronic client files
• Obtaining information from providers and managing Letters of Authority
• Liaising with clients and providers professionally
• Managing office stationery, post and document handling
• Preparing client packs for adviser meetings
• Producing illustrations, applications and supporting documentation
• Preparing client presentation materials
• Processing new business applications and managing cases through to completion
• Liaising with providers and monitoring underwriting progress
• Preparing pre-review documentation
• Processing post-meeting documentation and producing client review letters
• Supporting the administration and renewal of group schemes
• Assisting with the setup of new schemes
• Managing day-to-day provider correspondence
• Responding to adviser and client requests

The successful candidate:

• Strong communication and interpersonal skills
• Excellent organisational and time management abilities
• Self-motivated with a proactive approach
• High level of attention to detail

Skills & Experience:

• Minimum 3 years’ experience within financial planning or wealth management (essential)
• Strong understanding of FCA regulations including SM&CR, Consumer Duty and T&C (essential)
• Excellent accuracy and written communication skills (essential)
• Strong Excel and reporting skills (essential)
• Experience with Intelligent Office (desirable)
• Working towards, or interested in, the CII Level 4 Diploma (desirable)
• Experience working with external compliance providers (desirable)