Clifton Wealth

Clifton Wealth

With a strong focus on Individual and Corporate Wealth Management, our team has built an exceptional capability in combining business finance issues such as Employee benefits, Company pensions and Insurances with a core competency in clear financial advice and wealth management to cater for Individual requirements.

We are currently looking for a Compliance Assistant

Compliance Assistant logo

Closing date: 10-06-2019

Clifton is looking for a Compliance Assistant to join the team. The details of the role are as follows:

Job Responsibilities

  • Monitor business activities including advice suitability reviews. 
  • Assisting with risk-based monitoring with a view to identifying best practice and areas for improvement. Maintaining records of activities. 
  • To assist with compliance training for staff.
  • Knowledge in regulatory rules, guidelines, best practices, etc.
  • Discussing emerging themes, trends, recommendations, etc. with the Compliance Team.
  • To communicate the progress of work to the group Head of Compliance as appropriate. 
  • To foster good working relationships with managers and colleagues. 
  • To contribute to day to day compliance team activities. 
  • To conduct other ad hoc projects and tasks as requested by the Group Head of Compliance
  • Promote a strong culture of compliance throughout the organisation


Desired Skills and Expertise

  • Minimum of 3 years’ compliance/regulatory experience.
  • Good (or developing) knowledge of the FCA rules, principles, codes, best practices, etc.
  • Possess good communication and listening skills.
  • Strong cultural values to help drive excellent customer outcomes.
  • Able to work both independently and as part of a team.
  • Seeking to develop a career in compliance with a strong desire for growth and development within the organisation.
  • Customer focused.
  • Attention to detail.
  • Good inter-personal skills and able to build strong working relationships.

Salary range: £19000 – £26000



If you are interested in applying for the position or would like more information please contact by email Ian Scaife
or call 01275 813700 .