Compliance Assistant in Carlisle

Compliance Assistant
Location: Carlisle
Salary: £26,000 - £28,000 per annum
Job Type: Full Time
Contract Type: Permanent
Overview
NXT Recruitment is working in partnership with a professional and growing organisation to recruit a Compliance Assistant. This is an excellent opportunity for an early-career professional looking to build a long-term career within compliance and financial services.
The successful candidate will support the Head of Compliance and wider compliance team with a range of administrative, monitoring, and regulatory activities. This role would suit someone who is organised, detail-focused, and keen to develop their knowledge through ongoing training and professional qualifications.
The ideal candidate will be someone who is committed to personal development, willing to complete industry exams, and looking to progress their career within a supportive and structured environment.
Key Responsibilities

• Support the Head of Compliance with complaint investigations, including assisting with loss calculations and root cause analysis
• Conduct audits of adviser Value Propositions to ensure they meet required standards and regulatory expectations
• Prepare adviser KPI records and ensure relevant documentation is provided ahead of scheduled reviews
• Collect annual fit and proper declarations and supporting information from advisers
• Monitor adviser Statement of Professional Standing expiry dates and ensure renewals are completed within required timescales
• Issue annual knowledge tests and maintain accurate compliance trackers
• Support the T&C team with administration, including filing documentation and updating registers
• Maintain compliance records, documentation, and departmental filing systems
• Monitor open submissions on internal systems to ensure records are accurate and complete
• Maintain compliance logs and ensure information is archived correctly
• Respond to compliance queries professionally and within agreed service levels
• Support the wider compliance team with administrative duties and ongoing projects
• Keep the Head of Compliance updated on relevant matters and support effective oversight of compliance activity

Requirements

• Strong administration skills with excellent attention to detail
• Highly organised with the ability to manage multiple tasks and deadlines
• Excellent written and verbal communication skills
• Ability to handle confidential information professionally
• Good IT skills, including Microsoft Office applications
• A proactive approach with a willingness to learn and develop
• Strong problem-solving skills and ability to use initiative
• Commitment to achieving high standards and producing accurate work

Desirable Skills

• Previous experience within compliance, financial services, administration, or a regulated environment
• Interest in developing a career within compliance or financial services
• Willingness to undertake professional qualifications and industry exams
• Knowledge of FCA regulations or compliance processes would be advantageous

Benefits

• Competitive salary of £26,000 - £28,000
• Structured training and development opportunities
• Support towards professional qualifications and exams
• Clear career progression opportunities
• Supportive and professional working environment
• Opportunity to build a long-term career within compliance
• This is a fantastic opportunity for someone at the beginning of their career who is looking to develop within compliance, gain professional qualifications, and progress within a respected organisation.

Please contact the team at 01228 812585 or info@nxtrecruitment.co.uk.
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