Position details
IFA COMPLIANCE & BUSINESS RISK
Location
Salary
Posted on
Reference
Salary
Posted on
Reference
Remote
£40000 - £45000 11/06/2026
NJR16767
£40000 - £45000 11/06/2026
NJR16767
DESCRIPTION
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
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
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