Compliance Assistant in Cheltenham

You already understand what good compliance looks like. You know the difference between ticking a box and genuinely embedding a compliance culture — and you care about the latter. You have worked in a financial services environment, you are comfortable with FCA regulations, and you are looking for somewhere that will trust you, challenge you, and grow with you.

Compliance here is not a back‑office function. It sits at the heart of everything the firm does — and the team is built to reflect that. Salary up to £30,000 – 30 hours a week & hybrid working. A well‑established, FCA‑regulated financial planning firm in Cheltenham is looking for a Compliance and Operations Assistant to join its close‑knit compliance team. Reporting to the Compliance Director, this is a hands‑on, broad‑range role where no two weeks look the same.

The firm operates across multiple businesses under one group, meaning the successful candidate will gain exposure to a genuinely wide scope of compliance and operational activity — from regulatory monitoring and file reviews to quality checking advice reports and supporting the Training & Competency scheme. This is not a siloed role. The Compliance and Operations Assistant will work closely alongside both the Compliance Director and the Operations Director, acting as a real point of collaboration rather than simply an administrator.

The firm expects the person in this role to ask questions, contribute ideas, and develop their own expertise over time.

The Culture

Culture is not an afterthought here — it is something the firm has built deliberately. The compliance team operates with a high degree of mutual respect and professional trust. People are expected to use their judgement, take ownership of their work, and speak up when something needs attention. Collaboration is genuine. The Compliance and Operations Assistant will not be handed a task list and left to get on with it in isolation. They will be in regular dialogue with senior leaders, involved in projects from the outset, and encouraged to bring their perspective to the table.

The firm also understands that careers take time to build. Continuous professional development (CPD) is not just a compliance requirement here — it is actively supported and encouraged. The right candidate will find this an environment where their professional growth is taken seriously.

What the Role Involves

• Work alongside the Compliance Director as a key point of contact for day‑to‑day compliance queries across the firm.
• Support post‑sale file reviews and pre‑sale advice report quality checking.
• Assist with regular audits across the firm's businesses — covering spreadsheets, internal systems, checklists, mailboxes, fees, and document templates.
• Monitor adherence to regulatory requirements including MiFID II, COBS, and GDPR.
• Support the Training & Competency scheme, including adviser competency assessments and call listening.
• Carry out Activity Register Spot Checks and assist with maintaining compliance and operational procedures.
• Contribute to ad‑hoc compliance and operational project work as it arises.

What the Firm is Looking For

The firm is looking for someone who brings both competence and character. Technical ability matters — but so does the ability to work well with others, communicate clearly, and approach the role with genuine professional pride.

• Experience in a compliance, operations, or financial services role — this is not an entry‑level position.
• A solid working knowledge of the FCA regulatory framework.
• An organised, methodical approach — comfortable managing multiple priorities without dropping the ball.