Compliance Assistant in Warwickshire

Job description

Compliance Assistant – Financial Planning

Warwickshire | Full-time | Exclusive to IDEX

Are you a detail-oriented, proactive individual looking to build a career in compliance within a growing financial planning firm? This is an exciting opportunity to join a small, collaborative team of three as a Compliance Assistant, with a clear pathway to becoming a Compliance Officer in the future.

Working exclusively with IDEX, our client a respected financial planning business based in Warwickshire is seeking a motivated professional to support their compliance function and help maintain their high standards across all regulatory frameworks.

What You’ll Do:

• Provide day-to-day administrative support to the compliance team.
• Assist with file checking, risk assessments, adviser observations and compliance reporting.
• Monitor and support adherence to FCA rules, Consumer Duty, and internal procedures.
• Help maintain policies, logs, and training records.
• Assist with complaint handling, regulatory audits, and firm-wide compliance communications.
• Contribute to embedding a positive compliance culture across the business.

What We’re Looking For:

• Ideally, experience within a financial planning or wealth management environment.
• Previous administrative experience in Financial Services – compliance experience a bonus.
• Strong understanding (or appetite to learn) about FCA regulations and the responsibilities of Financial Advisers.
• Detail-focused with high levels of accuracy and confidentiality.
• Positive, service-led approach with a willingness to take initiative.
• Strong communication and organisational skills.

Extra information

Status

Open

Education Level

Secondary School

Location

Warwickshire

Type of Contract

Part-time jobs

Published at

14-07-2025

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English