Job Title

Compliance Analyst / Assistant – Ideal for IFA Admin / Paraplanner Looking to Move into ComplianceLocation: BirminghamFull-time | PermanentAre you ready to take the next step in your career and transition into a specialist compliance role?We're looking for a detail-oriented and ambitious individual with a background in Financial Planning (open to candidate from an IFA administration, paraplanning, or file checking who is eager to develop a career in compliance). This is a unique opportunity to move beyond day-to-day client servicing and play a vital role in the monitoring and governance of a growing, forward-thinking financial advice firm.About the RoleAs a Compliance Associate, you’ll work directly with the Head of Compliance and play an integral part in:File monitoring and thematic reviews, with a keen eye on suitability, disclosure, and advice standardsSupporting ongoing alignment with the Consumer Duty frameworkHorizon scanning – identifying and interpreting regulatory developments from the FCA and beyondContributing to the compliance monitoring programme, helping the business stay ahead of regulatory riskAssisting in the development of policy documents, registers, and internal guidanceEngaging with advisers and support staff to promote a strong culture of complianceIdeal Candidate ProfileThis role is designed for someone who has a solid grounding in financial planning, such as:Experience as an IFA administrator, file checker, or paraplannerStrong understanding of advice processes, suitability reports, and FCA expectationsAn interest in regulatory frameworks and a desire to learn more about compliance monitoring and risk managementExcellent attention to detail and strong organisational skillsA desire to step away from client-facing work and play a behind-the-scenes role in protecting and improving business standardsDesirable (but not essential):Progress toward the CII Diploma in Financial Planning or similarExposure to compliance tasks or projects in a previous roleAn understanding of the FCA Handbook, particularly SYSC and Principles for BusinessesWhat’s in it for you?Mentorship from experienced compliance professionalsOngoing support for training and professional development (e.g., CISI or CII qualifications)A collaborative and supportive work environmentThe chance to shape a growing compliance function and be involved in meaningful strategic projects