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Job Specification

PWM Compliance Associate – QA and T&C Experience within Financial Planning required

£30K to £35K + Benefits + Bonus | Sheffield
Ref: 3706R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading independent Wealth Management company, are looking to hire a Compliance Associate to provide. In an interesting & varied role the main duties are;
• Maintain records of the Wealth Planning Training and Competence Scheme
• Maintain KPI records for all advisors
• Assist with the preparation of files for file reviews
• Handling Client Complaints.
• Assist the Head of Compliance with reporting for various committees and boards
• Ad hoc projects as required.

The ideal candidate should have a minimum of 2 years Compliance experience including T & C knowledge and have experience of QA/File Reviews. You should also hold the CFPC or equivalent.

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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