IFA Compliance & Business Risk Associate

IFA Compliance / Business Risk Associate

Salary to £40,000

Remote - 1 day per week in the office

Driving license essential

This role is hybrid, requiring once-a-week visits to offices in either North Manchester, Ramsbottom, Chester, or Leeds offices.

NJR Recruitment is working in Partnership with a Chartered Financial Planning firm who are seeking a proactive, organised, and forward-thinking Business Risk Assistant to join their growing business. This position is ideal for an ambitious individual who thrives on variety, enjoys taking ownership, and wants to play a meaningful role within a progressive financial services environment.

Reporting directly to the Group Head of Business Risk, our client is looking for someone who is highly organised and comfortable working independently while managing a varied workload. The role sits at the heart of their regulatory compliance framework, covering the twin needs of an established wealth management firm and a separate discretionary investment management business.

The successful candidate will take ownership of our Training & Competence (T&C) Scheme, ensuring it remains robust, effective, and aligned with regulatory expectations, whilst also supporting a broad range of day-to-day risk and compliance activities.

Key Responsibilities & Opportunities

Training & Competence (T&C) Scheme Management

• Take ownership of the firm's Training & Competence Scheme, ensuring existing excellent internal standards and customer outcomes are maintained while meeting all FCA requirements.
• Maintain and develop T&C monitoring processes, review advice files and competency records,
• Supervise the firm's predominantly Chartered investment advisers through regular monitoring, training and support
• Provide management information relating to competence oversight.
• Identify opportunities to enhance systems, controls, and efficiencies within the firm's T&C framework.
• Keep abreast of regulatory developments and assess implications for the business.

Business Risk Support

• Support day-to-day activities across both the wealth management and discretionary management businesses.
• Help maintain policies, procedures and registers across both firms.
• Contribute to risk management initiatives and business improvement projects.
• Reviewing financial promotions against the firm's and the FCA's expectations

Continuous Improvement & Business Contribution

• Identify opportunities to improve processes, reporting, and operational effectiveness.
• Work collaboratively across departments, building strong internal relationships.
• Contribute positively to a culture of responsibility, innovation, and continuous development.

Core Benefits

• Holidays: 25 days with additional tiering on length of service
• Pension Scheme: 3% Employer and 4% Employee contributions
• Death in Service: 4 x salary
• PHI: 75% up to age 65, 13 weeks deferred
• Competitive Salary

NJR 16767