Trainee Financial Planning Compliance Officer
Job Description
Trainee Financial Planning Compliance Officer
\nLocation: Manchester City Centre
\nSalary: £35,000
\nWorking towards the CII Level 4 Exams
\nAbout the Role
\nNJR 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.
\nThis 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.
\nKey Responsibilities
\n" Conduct file checks to assess suitability of advice
\n" Perform call checks to ensure compliance with advice standards
\n" Assess vulnerability characteristics and identify necessary support
\n" Deliver clear and structured feedback to advisers and paraplanners
\n" Provide ad-hoc compliance support to business departments
\n" Ensure adherence to FCA regulations, legislation, and internal policies
\n" Assist in implementing and maintaining robust compliance procedures
\nRequirements
\n" Ideally working towards CII Level 4 qualified, or completed 1-2 exams and actively working towards full qualification
\n" Minimum 1 year of experience in compliance or a related role
\n" Strong attention to detail and analytical skills
\n" Effective communication and interpersonal abilities
\n" Confidence in delivering constructive feedback
\nApply today via NJR Recruitment or call quoting the reference NJR16457
\nPlease 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.
