Trainee Financial Planning Compliance Officer

Trainee Financial Planning Compliance Officer

Location:
Manchester City Centre

Salary: £35,000

Working towards the CII Level 4 Exams

About the Role

NJR Recruitment is working in Partnership with an Independent Firm of Financial Planners who is seeking a proactive and detail-oriented Candidate to take the step in to 'Trainee Compliance Officer' role. The successful candidate will play a key role in maintaining high standards of regulatory compliance and suitability of advice across the business.

This role is ideal for someone who has proven experience working for a firm of Financial Planners or an Provider as an Administrator or Trainee Paraplanner/Paraplanner who is eager to develop their career in a supportive and professional environment.

Key Responsibilities

" Conduct file checks to assess suitability of advice

" Perform call checks to ensure compliance with advice standards

" Assess vulnerability characteristics and identify necessary support

" Deliver clear and structured feedback to advisers and paraplanners

" Provide ad-hoc compliance support to business departments

" Ensure adherence to FCA regulations, legislation, and internal policies

" Assist in implementing and maintaining robust compliance procedures

Requirements

" Ideally working towards CII Level 4 qualified, or completed 1-2 exams and actively working towards full qualification

" Minimum 1 year of experience in compliance or a related role

" Strong attention to detail and analytical skills

" Effective communication and interpersonal abilities

" Confidence in delivering constructive feedback

Apply today via NJR Recruitment or call quoting the reference NJR
16457

Please note:

Due to a high volume of applications, if your CV does not reflect the essential requirements, or you answer 'no' to key screening questions, we may not be able to contact you.