Compliance Assistant

Location: Carlisle
Salary: £26,000 - £28,000 per annum
Job Type: Full Time
Contract Type: Permanent

Overview
NXT Recruitment is working in partnership with a professional and growing organisation to recruit a Compliance Assistant. This is an excellent opportunity for an early-career professional looking to build a long-term career within compliance and financial services.

The successful candidate will support the Head of Compliance and wider compliance team with a range of administrative, monitoring, and regulatory activities. This role would suit someone who is organised, detail-focused, and keen to develop their knowledge through ongoing training and professional qualifications.

The ideal candidate will be someone who is committed to personal development, willing to complete industry exams, and looking to progress their career within a supportive and structured environment.

Key Responsibilities

Support the Head of Compliance with complaint investigations, including assisting with loss calculations and root cause analysis
Conduct audits of adviser Value Propositions to ensure they meet required standards and regulatory expectations
Prepare adviser KPI records and ensure relevant documentation is provided ahead of scheduled reviews
Collect annual fit and proper declarations and supporting information from advisers
Monitor adviser Statement of Professional Standing expiry dates and ensure renewals are completed within required timescales
Issue annual knowledge tests and maintain accurate compliance trackers
Support the T&C team with administration, including filing documentation and updating registers
Maintain compliance records, documentation, and departmental filing systems
Monitor open submissions on internal systems to ensure records are accurate and complete
Maintain compliance logs and ensure information is archived correctly
Respond to compliance queries professionally and within agreed service levels
Support the wider compliance team with administrative duties and ongoing projects
Keep the Head of Compliance updated on relevant matters and support effective oversight of compliance activity

Requirements

Strong administration skills with excellent attention to detail
Highly organised with the ability to manage multiple tasks and deadlines
Excellent written and verbal communication skills
Ability to handle confidential information professionally
Good IT skills, including Microsoft Office applications
A proactive approach with a willingness to learn and develop
Strong problem-solving skills and ability to use initiative
Commitment to achieving high standards and producing accurate work

Desirable Skills

Previous experience within compliance, financial services, administration, or a regulated environment
Interest in developing a career within compliance or financial services
Willingness to undertake professional qualifications and industry exams
Knowledge of FCA regulations or compliance processes would be advantageous

Benefits

Competitive salary of £26,000 - £28,000
Structured training and development opportunities
Support towards professional qualifications and exams
Clear career progression opportunities
Supportive and professional working environment
Opportunity to build a long-term career within compliance
This is a fantastic opportunity for someone at the beginning of their career who is looking to develop within compliance, gain professional qualifications, and progress within a respected organisation.

Please contact the team at 01228 812585 or info@nxtrecruitment.co.uk.

NXT Recruitment Limited acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. By applying for this role, you accept the terms of our Privacy Notice, which can be found on our website.