Compliance Operations Assistant

Templegate Recruitment Specialist Recruiters in Financial Services Job Title: Compliance Operations Assistant Location: Hereford Salary: Up to £40,000 FTE (pro-rata for 30 hours per week) Why Join Us? This is an excellent opportunity to join a well-established financial services environment, supporting both Compliance and Operations leadership in a varied and hands-on role.

Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.

You will play a key part in maintaining regulatory standards, supporting internal audit processes, and ensuring the smooth running of day-to-day compliance operations across the business.

Benefits: 25 days annual leave bank holidays Birthday day off 6% employer pension contribution Death in Service cover (4 x salary) Hybrid working: 4 days in office, 1 day from home Working Pattern: 30 hours per week Hybrid arrangement: 4 days office, 1 day home (pro-rata to 30 hours) About the Company: A professional financial services firm with a strong focus on regulatory compliance, operational excellence, and client service.

The organisation operates across multiple subsidiary businesses and maintains high standards of governance and regulatory adherence.

Key Responsibilities: Assist with regular compliance and operational audits across all business areas, including systems, spreadsheets, mailboxes, fees, documentation, and internal checklists Support ad hoc compliance and operational project work Assist in maintaining and updating compliance and operational procedures Support pre-sale advice report quality checking (Operations Director) Assist with post-sale file reviews (Compliance Director) Act as a day-to-day point of contact for compliance queries within the business Support elements of the Training & Competency (T&C) scheme, including adviser competency assessments and call listening Conduct Activity Register spot checks within internal systems Monitor adherence to all regulatory requirements Ensure compliance with FCA requirements including MiFID II, COBS, GDPR, and internal policies Maintain adherence to FCA Conduct Rules and certification standards at all times Uphold a professional, polite, and positive approach in all interactions Undertake any other reasonable duties as required What Were Looking For: Experience in financial services compliance, operations, or administrative support (preferred) Strong understanding of regulatory frameworks within financial services High attention to detail and strong organisational skills Ability to manage multiple tasks and deadlines effectively Confident communicator, both written and verbal Proactive approach with a willingness to support across both compliance and operations functions Strong ethical standards and commitment to regulatory adherence Desirable Skills: Knowledge of FCA regulations including MiFID II, COBS, and GDPR Experience with compliance monitoring or file checking Exposure to training and competency schemes or adviser oversight Experience working within regulated financial advice or wealth management environments How to Apply: Interested? Submit your CV today! If your experience aligns with this opportunity, one of our specialist consultants will contact you to discuss further.

Well also take the time to understand your career goals and highlight other roles that may be a great fit.

Due to the high volume of applications, we can only respond to successful candidates. xwzovoh

If you havent heard from us within 7 days, please assume your application has not been successful on this occasion.