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 NJR16457
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.
Trainee Financial Planning Compliance Officer employer: NJR Recruitment
Join a dynamic and growing eCommerce business that values creativity and innovation in the sports retail sector. With a remote working model complemented by bi-weekly team meetings in North Manchester, you'll enjoy a flexible work environment while contributing to exciting projects that drive market expansion. The company fosters a collaborative culture with ample opportunities for professional growth, making it an ideal place for motivated individuals looking to make a meaningful impact.
