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We are proud to partner with a leading Financial Planning firm who are currently seeking a detail-driven, proactive Compliance & Risk Assistant to join their dynamic team. This role offers the perfect opportunity to build a robust compliance career in a fast-paced, supportive, and growth-oriented environment.
The Role:You’ll play a vital role in ensuring the business adheres to regulations while supporting a high standard of client care. Key responsibilities include:
- Risk Assessment: Assist in reviewing client documents, assessing AML (Anti-Money Laundering) risks, and approving new accounts.
- Client Reviews: Help conduct regular and enhanced due diligence on high-risk clients.
- Training & Support: Provide answers to AML-related queries and assist in delivering internal training sessions.
- Decision Making: Contribute to assigning risk ratings and documenting necessary due diligence.
- Data Management: Log newly onboarded clients and assist in preparing monthly statistics for senior managers.
- Regulatory Updates: Support the analysis of new regulations and integration of changes into processes.
- Organizational Excellence: Ability to manage multiple tasks efficiently.
- Attention to Detail: Ensuring compliance and accuracy in documentation.
- Strong Communication Skills: Professional interaction with advisers, clients, and providers.
- Team Spirit: Willingness to collaborate across departments.
- Interest in Compliance: Basic understanding of FCA, AML, and KYC guidelines is beneficial but not essential.
- Competitive Salary: Up to £30k based on experience.
- Flexibility: Hybrid working and flexible hours.
- Generous Benefits: 28 days holiday, workplace pension, and free parking.
- Professional Development: Comprehensive study support for R0/CII exams.
This role is perfect for individuals with some experience in compliance support, financial services administration, or a related field. If you’re eager to build your skills in risk management and compliance while working in a dynamic and supportive environment, we’d love to hear from you.
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