Trainee Financial Planning Compliance Officer

About the role

This trainee position supports an independent firm of financial planners in Manchester. You will help maintain high regulatory standards and ensure advice suitability while working towards the CII Level 4 qualification.

Key responsibilities

• Conduct file checks to assess suitability of advice
• Perform call checks to verify compliance with advice standards
• Assess vulnerability characteristics and identify required support
• Deliver clear, structured feedback to advisers and paraplanners
• Provide ad‑hoc compliance support to various business departments
• Ensure adherence to FCA regulations, legislation, and internal policies
• Assist in implementing and maintaining robust compliance procedures

Required profile

• Working towards CII Level 4 qualification or completed 1‑2 exams
• Minimum 1 year experience in compliance or a related role
• Strong attention to detail and analytical abilities
• Effective communication and interpersonal skills
• Confidence in delivering constructive feedback

Required skills

What we offer

• Competitive salary of £35,000 per year
• Support for CII Level 4 qualification
• Full‑time, onsite role in Manchester city centre