Compliance Associate in Birmingham

Job description

Compliance Analyst / Assistant – Ideal for IFA Admin / Paraplanner Looking to Move into Compliance

Location: Birmingham

Full-time | Permanent

Are you ready to take the next step in your career and transition into a specialist compliance role?

We're looking for a detail-oriented and ambitious individual with a background in Financial Planning (open to candidate from an IFA administration, paraplanning, or file checking who is eager to develop a career in compliance). This is a unique opportunity to move beyond day-to-day client servicing and play a vital role in the monitoring and governance of a growing, forward-thinking financial advice firm.

About the Role

As a Compliance Associate, you’ll work directly with the Head of Compliance and play an integral part in:

• File monitoring and thematic reviews, with a keen eye on suitability, disclosure, and advice standards
• Supporting ongoing alignment with the Consumer Duty framework
• Horizon scanning – identifying and interpreting regulatory developments from the FCA and beyond
• Contributing to the compliance monitoring programme, helping the business stay ahead of regulatory risk
• Assisting in the development of policy documents, registers, and internal guidance
• Engaging with advisers and support staff to promote a strong culture of compliance

Ideal Candidate Profile

This role is designed for someone who has a solid grounding in financial planning, such as:

• Experience as an IFA administrator, file checker, or paraplanner
• Strong understanding of advice processes, suitability reports, and FCA expectations
• An interest in regulatory frameworks and a desire to learn more about compliance monitoring and risk management
• Excellent attention to detail and strong organisational skills
• A desire to step away from client-facing work and play a behind-the-scenes role in protecting and improving business standards

Desirable (but not essential):

• Progress toward the CII Diploma in Financial Planning or similar
• Exposure to compliance tasks or projects in a previous role
• An understanding of the FCA Handbook, particularly SYSC and Principles for Businesses

What’s in it for you?

• Mentorship from experienced compliance professionals
• Ongoing support for training and professional development (e.g., CISI or CII qualifications)
• A collaborative and supportive work environment
• The chance to shape a growing compliance function and be involved in meaningful strategic projects

Extra information

Status

Open

Education Level

Secondary School

Location

Birmingham

Type of Contract

Part-time jobs

Published at

20-07-2025

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