Compliance Administrator

Kick-start your compliance career with a respected financial services firm as a Compliance Administrator. Supporting the Compliance Officer and wider team, you'll help ensure the business operates to the highest regulatory standards while developing your own skills in a supportive environment.

Benefits:

• Salary:
  Up to £30,000 (DOE)
• FULLY OFFICE BASED IN NEWCASTLE-UNDER-LYME
• Hybrid available but only in Warwick & Edgbaston (3 days office/2 days WFH)
• 31 Days Holiday (Inclusive of Bank Holidays)
• Pension auto-enrolment scheme - Salary sacrifice available
• Group Life Cover (x4 salary) & Income Protection
• Company sick pay
• Employee Assistance Programme & Financial Wellbeing Support
• Monday to Friday - 08:30 to 17:00
• Locations:
  Warwick, Edgbaston, Newcastle-under-Lyme

Role & Responsibilities:

• Support the Compliance Officer and wider team with monitoring, reporting, and reviews
• Perform risk assessments and ensure compliance with laws, regulations, and internal policies
• Assist with file checking, adviser observations, and quarterly 1:1 meetings
• Review marketing materials and client documentation for regulatory compliance
• Support with T&C plans, competency testing, and annual FIT assessments
• Help prepare for audits, complete reports, and follow up on actions
• Investigate issues, escalate concerns, and assist with complaints resolution
• Promote a culture of compliance across the business through training and collaboration

Required Skills & Experience:

• Previous experience in financial services, ideally within an IFA environment
• Previous experience working with compliance based roles
• Strong analytical and problem-solving skills
• Organised with the ability to plan, prioritise, and meet deadlines
• Confident communicator and team player
• Adaptable, dependable, and committed to delivering quality work
• Honest, proactive, and keen to develop in a compliance-focused role

Apply now and take your first big step in compliance!