Compliance Assistant & Paraplanner Support

Compliance Assistant - £40,000 - £45,000 FTE

Waltham Cross

Part time role 3 days a week

(1/3 days WFH)
This is a highly reputable IFA practice that offers holistic financial planning and discretionary fund management services to HNW clientele. The practice has a range of loyal clients that wins business through word-of-mouth, referrals and repeat clients, and has experienced consistent business growth over the last couple of years and has enjoyed high client retention. 
The firm has a friendly working environment, which is reflected in their low staff turnover, with most staff having worked there for many years.

This position will suit a Level 4 Diploma qualified individual with a Compliance background and will work alongside the Compliance Director to provide consistently high service levels to clients. It will also involve some cross over with the Paraplanning team to assist with non-client facing tasks.
Role Responsibilities:

• The position will provide support in compliance, money laundering and data protection areas of the firm


• Undertake due diligence of funds and providers


• Post sale file checks on investments, pensions, insurance products


• Data reporting and management


• Aid training and competence of staff based on data and information gathered


• Ensure delivery of GDPR requirements


• Undertake annual Sanctions Checks on the client bank


• Produce AML/Fraud/Consumer Duty reports to aid the delivery of board reports 


• Implement new regulation changes

Where required, you will also provide support to the Paraplanning team (training provided on any areas needed) including:

• Preparation of client valuations & asset allocations


• Assisting with meeting paperwork as required


• Preparation of quotes and provider/product research

The ideal candidate will:

• Have experience working within Financial Planning in a Compliance position, with knowledge of money laundering and due diligence


• Diploma Level 4 qualified as a minimum


• All-round general knowledge of all technical aspects of financial services and the various products available


• Have knowledge of systems i.e. Xplan or similar, and investment platforms


• Live locally to Waltham Cross

Company Benefits

• Company wide annual bonus


• Flexible working hours and additional days considered


• Private Medical Insurance


• 8% employer pension contribution without matching 


• 40% of your working week WFH


• 25 days holiday plus bank holiday (FTE)

What next?

Apply today to be considered for this opportunity.  If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client.