Compliance Assistant

A new role has been created to provide high quality compliance support to the existing Compliance Officer.

To maintain and enhance the quality of our services both internally and externally to our clients we are looking for a Compliance Assistant to join our organisation. Role responsibilities will include:

  • designing, implementing and overseeing the operation of effective systems and controls to mitigate business risks and ensure compliance with the regulatory system
  • preparation and undertaking of regular file checks for both new & ongoing business (including Pension, Investments and Protection business)
  • preparation of management information and input into how procedures can be improved
  • identifying training needs and assisting relevant staff with keeping their CPD records up to date
  • keeping risk registers up to date
  • financial promotions review and sign off
  • assisting with external audit preparation and quarterly board reporting
  • dealing with queries from both internal and external sources

From time to time you may be expected to be part of special projects as are reasonably required of your job role

The successful applicant will report to the Compliance Officer at EQ Investors.

Knowledge & experience

  • Previous working experience of 2 years+ within a compliance role at an IFA/Wealth Manager
  • Essential that candidate has previous experience of undertaking file reviews
  • Progression made with professional qualifications – minimum part diploma qualified
  • Candidate that shows initiative and a drive to progress career
  • Ability to prioritise and manage workloads
  • Excellent communication skills and confident dealing with different internal stakeholders
  • Knowledge of discretionary investment management is desirable

Salary & benefits

The role is a full-time position based at our office near Monument in London with a salary of £35k-£40k depending on experience + discretionary bonus. Other benefits include:

  • 25 days annual leave
  • Auto enrolled into the company pension scheme after 3 months employment
  • GLA (4 x Salary) & GIP (75% of Salary)
  • Opportunity to join company share scheme and electric vehicle car scheme after a year’s employment
  • Flexible & Remote Working Policy in operation
  • Cycle to work scheme – soon to be introduced.


How to apply

Please send your CV with a covering letter to: