Compliance Assistant

Fram is working with a financial services firm that requires an experienced compliance professional on a contract basis to support its regulatory function. The business is looking to engage with someone who can take responsibility for core regulatory processes and contribute immediately within a structured environment. The requirement is time-sensitive and would suit an individual who is available to start at short notice.

The role centres on managing regulatory submissions and permissions activity, including adviser registrations and firm-level updates through FCA systems. Experience using FCA Connect and Reg Data is desirable, as the position involves preparing, submitting, and monitoring regulatory returns and notifications. There is responsibility for tracking progress, maintaining accurate records, and ensuring regulatory obligations are met within required time frames.

The position also involves supporting the wider compliance framework, including maintaining registers, preparing management information, and contributing to internal reporting. There will be involvement in complaints handling activity, including reviewing issues, assisting with root cause analysis, and monitoring follow-up actions. Day-to-day guidance to advisers and operational colleagues forms part of the role, alongside reviewing regulatory updates and supporting financial crime checks where required.

This may appeal to someone with previous experience in a compliance role within financial services who is confident working with FCA systems and comfortable managing regulatory processes with minimal supervision. Strong organisation, attention to detail, and clear communication skills will be important.