2 jobs found

Financial Services Compliance Officer Location: Holmes Chapel, Cheshire Hours: Monday-Friday, 8:30am-5pm Working Pattern: Office-based initially, hybrid once trained Salary: Up to 40,000 (DOE) + annual bonus A New Opportunity for Compliance Professionals Across Financial Services Are you working in Compliance within banking, insurance, financial planning, or another regulated financial services environment, and looking for a role where your expertise really matters? This is an excellent opportunity to join a long-established, respected Independent Financial Planning firm with a strong reputation for quality, integrity, and putting clients first. The business supports a specialist, loyal client base and has grown steadily through expert advice and exceptional service. Due to an internal promotion and an upcoming retirement, the firm is seeking a Compliance Officer to work closely with their experienced Compliance team and help maintain robust standards across the business. If you enjoy a role where accuracy, sound judgement, and regulatory understanding are valued, you'll feel right at home here. The Key Responsibilities of the Compliance Officer: In this role, you'll help ensure the firm continues to operate to the highest FCA standards by: Conducting file checks and suitability reviews Supporting the advice team with regulatory guidance Monitoring and maintaining compliance policies and procedures Assisting with internal audits and regulatory reporting Helping the business keep pace with FCA updates and thematic reviews Contributing to a culture that prioritises excellent client outcomes The Key Responsibilities of the Compliance Officer: This position is ideal for someone who has experience in Compliance within financial services, whether that's: Retail banking compliance Insurance compliance Wealth management or financial planning compliance Mortgages, protection, or financial advice oversight Paraplanning or advisory roles with strong regulatory exposure You'll bring: Strong understanding of FCA frameworks and regulated environments Exceptional attention to detail and accuracy Confident, clear written and verbal communication Strong organisational skills and the ability to prioritise workload A collaborative, proactive mindset Qualifications Ideally, a Level 3 Financial Services qualification (or working towards) Compliance-related study or CPD from banking/insurance backgrounds is also welcome Experience and attitude are equally important. What's in It for You? Salary up to 40,000, depending on experience Hybrid working after training/probation A supportive, collaborative team with low turnover Clear development opportunities within a growing compliance function The stability of joining a well-established, highly reputable IFA firm A role where your compliance expertise genuinely shapes client outcomes Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.

Financial Planning Compliance Assistant Location: Holmes Chapel, Cheshire Hours: Monday to Friday Working Pattern: Office-based initially, hybrid after training/probation Salary: Up to 40,000 (DOE) A Fresh Career Move in Financial Services Compliance Are you ready to take the next step in your financial services career? Whether you're already working in Compliance or looking to move across from Paraplanning or Advice, this is a rare opportunity to join a respected, long-established Independent Financial Planning firm with an exceptional reputation for quality and client care. Based in Holmes Chapel, this growing business supports a specialist client base and has built its success on genuine expertise, integrity, and long-term relationships. Following an internal promotion and a planned retirement, they are now looking for a Compliance Assistant to work closely with their experienced Compliance Officer. If you're looking for a role where you can learn, develop, and make a real impact within a supportive, collaborative environment, this could be the perfect fit. What You'll Be Doing You'll play a key role in safeguarding the firm's high compliance standards, ensuring all advice and documentation meet FCA requirements and supporting the team in delivering outstanding client outcomes. Who We're Looking For This position is ideal for someone who has experience in Compliance within financial services -whether that's: Retail banking compliance Insurance compliance Wealth management or financial planning compliance Mortgages, protection, or financial advice oversight Paraplanning or advisory roles with strong regulatory exposure Qualifications: Ideally Level 3 Certificate in Financial Services (or working towards), but experience and attitude are just as important. What's in It for You? Salary up to 40,000 , depending on experience Hybrid working once training and probation are complete A genuinely supportive team and collaborative culture Long-term development and progression within Compliance The stability of joining a respected, established financial planning firm Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.