Compliance Officer

A well-established FCA-regulated firm focussing on Pensions and Investments is seeking a Compliance Assistant to support its growing compliance function.

Working closely with the SMF16 Compliance Officer, you'll play a key role in ensuring the business meets FCA requirements across advisory services and SIPP provision.

Key Responsibilities

• Support compliance monitoring and reporting across advisory and SIPP activities
• Assist with FCA filings, regulatory returns, and record keeping
• Conduct regulatory research and track FCA updates
• Support internal audits and identify compliance gaps
• Help maintain and update policies (COBS, KYC, AML)
• Assist with compliance training for staff
• Monitor advisory processes and SIPP activities for regulatory adherence
• Support preparation for FCA audits and inspections

About You

• Experience in financial services compliance
• Understanding of FCA regulations (MiFID II, COBS desirable)
• Strong attention to detail and analytical skills
• Confident communicator, able to work independently and in a team
• Professional qualifications (ICA/CISI) and SIPP knowledge are advantageous

Why Join?

• Direct exposure to senior compliance leadership
• Broad, hands-on compliance experience
• Excellent platform for career growth