About

Alexander Lloyd are seeking a detail-oriented and motivated Compliance Assistant to support the compliance framework within a regulated financial services environment. Working closely with the Compliance function, this role plays a key part in ensuring the firm meets its regulatory obligations under FCA rules, particularly in relation to advisory services and SIPP provision. This is an excellent opportunity for someone with a strong interest in financial services regulation who is looking to develop their career in compliance. Key Responsibilities Compliance Monitoring & Reporting Support the development and delivery of compliance monitoring programmes across advisory and SIPP provider activities.Assist in the preparation and maintenance of regular compliance reports for senior management. Regulatory Filings & Documentation Assist with the preparation and submission of FCA regulatory filings and returns, ensuring accuracy and timely delivery. Regulatory Research Research FCA regulations and guidance relevant to advisory and SIPP services, ensuring the business remains aligned with current regulatory expectations. Internal Compliance Audits Support internal compliance audits, identifying regulatory gaps and working with internal teams to help resolve findings. Policies & Procedures Assist with reviewing and updating internal policies and procedures, including conduct of business, KYC, and AML requirements. Training & Development Support the creation and delivery of compliance training materials, including regulatory updates and best practice guidance. Record Keeping & Data Management Maintain accurate and well-organised compliance records to support audits and regulatory inspections. Advisory Services Compliance Monitor advisory ac