Compliance Support

Compliance Support

Job Title: Compliance Support
Contract Type: Permanent
Location: North Yorkshire
Salary: competitive salary
Start Date: asap
Reference: BWD-MC-CS-Y
Contact Name: Monika Carlton
Contact Email:
Job Published: February 06, 2017 17:25

Job Description

Compliance can be one of the most fulfilling careers. The role of a Compliance Analyst isn’t simply just about regulations and policies, it’s guiding firms to reach the highest level of growth. It is a skilled and valued profession.
I have a client that is offering an exceptional opportunity for the entry Compliance, experienced Report/File Checker or Financial Adviser who wishes to use their practical and professional skills fully to work with a leading firm in North Yorkshire.
Our client is not looking for an another ‘box ticker' but for an individual that will take a leading role in supporting the Business remaining compliant with regulatory requirements and corporate compliance policies. You will also be involved in conducting client file reviews, ensure the quality of advice and documentation is of high standard and provide technical advise/guidance to the advisors and other team members.

If you would like to enter a Compliance profession, with experience within Financial Planning, Wealth Management or Pensions, and you are willing to continuously learn, develop and broaden your knowledge and want to work with professionals who share your values then please give me a call for a confidential chat. 

What have you got to lose!


Diploma in Financial Planning (qualified or working towards)
- A good technical knowledge across all means of financial planning.
- Excellent knowledge of UK regulatory framework.
- Current experience of working within a financial services compliance file checking role, or demonstrable expertise in this area.