Templegate RecruitmentSpecialist Recruiters in Financial ServicesJob Title:Compliance Operations AssistantLocation:HerefordSalary:Up to £40,000 FTE (pro-rata for 30 hours per week)Why Join Us?This is an excellent opportunity to join a well-established financial services environment, supporting both Compliance and Operations leadership in a varied and hands-on role. You will play a key part in maintaining regulatory standards, supporting internal audit processes, and ensuring the smooth running of day-to-day compliance operations across the business.Benefits:25 days annual leave + bank holidaysBirthday day off6% employer pension contributionDeath in Service cover (4 x salary)Hybrid working: 4 days in office, 1 day from homeWorking Pattern:30 hours per weekHybrid arrangement: 4 days office, 1 day home (pro-rata to 30 hours)About the Company:A professional financial services firm with a strong focus on regulatory compliance, operational excellence, and client service. The organisation operates across multiple subsidiary businesses and maintains high standards of governance and regulatory adherence.Key Responsibilities:Assist with regular compliance and operational audits across all business areas, including systems, spreadsheets, mailboxes, fees, documentation, and internal checklistsSupport ad hoc compliance and operational project workAssist in maintaining and updating compliance and operational proceduresSupport pre-sale advice report quality checking (Operations Director)Assist with post-sale file reviews (Compliance Director)Act as a day-to-day point of contact for compliance queries within the businessSupport elements of the Training & Competency (T&C) scheme, including adviser competency assessments and call listeningConduct Activity Register spot checks within internal systemsMonitor adherence to all regulatory requirementsEnsure compliance with FCA requirements including MiFID II, COBS, GDPR, and internal policiesMaintain adherence to FCA Conduct Rules and certification standards at all timesUphold a professional, polite, and positive approach in all interactionsUndertake any other reasonable duties as requiredWhat Were Looking For:Experience in financial services compliance, operations, or administrative support (preferred)Strong understanding of regulatory frameworks within financial servicesHigh attention to detail and strong organisational skillsAbility to manage multiple tasks and deadlines effectivelyConfident communicator, both written and verbalProactive approach with a willingness to support across both compliance and operations functionsStrong ethical standards and commitment to regulatory adherenceDesirable Skills:Knowledge of FCA regulations including MiFID II, COBS, and GDPRExperience with compliance monitoring or file checkingExposure to training and competency schemes or adviser oversightExperience working within regulated financial advice or wealth management environmentsHow to Apply:Interested? Submit your CV today!If your experience aligns with this opportunity, one of our specialist consultants will contact you to discuss further. Well also take the time to understand your career goals and highlight other roles that may be a great fit.Due to the high volume of applications, we can only respond to successful candidates. If you havent heard from us within 7 days, please assume your application has not been successful on this occasion.JBRP1_UKTJ