Leamington
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Compliance Administrator

Where

Warwick

Type

Permanent

Salary

30000 Annual

Kick-start your compliance career with a respected financial services firm as a Compliance Administrator. Supporting the Compliance Officer and wider team, you'll help ensure the business operates to the highest regulatory standards while developing your own skills in a supportive environment.

Benefits:

  • Salary: Up to 30,000 (DOE)
  • FULLY OFFICE BASED IN NEWCASTLE-UNDER-LYME
  • Hybrid available but only in Warwick & Edgbaston (3 days office/2 days WFH)
  • 31 Days Holiday (Inclusive of Bank Holidays)
  • Pension auto-enrolment scheme - Salary sacrifice available
  • Group Life Cover (x4 salary) & Income Protection
  • Company sick pay
  • Employee Assistance Programme & Financial Wellbeing Support
  • Monday to Friday - 08:30 to 17:00
  • Locations: Warwick, Edgbaston, Newcastle-under-Lyme

Role & Responsibilities:

  • Support the Compliance Officer and wider team with monitoring, reporting, and reviews
  • Perform risk assessments and ensure compliance with laws, regulations, and internal policies
  • Assist with file checking, adviser observations, and quarterly 1:1 meetings
  • Review marketing materials and client documentation for regulatory compliance
  • Support with T&C plans, competency testing, and annual FIT assessments
  • Help prepare for audits, complete reports, and follow up on actions
  • Investigate issues, escalate concerns, and assist with complaints resolution
  • Promote a culture of compliance across the business through training and collaboration

Required Skills & Experience:

  • Previous experience in financial services, ideally within an IFA environment
  • Previous experience working with compliance based roles
  • Strong analytical and problem-solving skills
  • Organised with the ability to plan, prioritise, and meet deadlines
  • Confident communicator and team player
  • Adaptable, dependable, and committed to delivering quality work
  • Honest, proactive, and keen to develop in a compliance-focused role

Apply now and take your first big step in compliance!

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