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MERJE are supporting a boutique independent financial planning firm in their search for a Compliance Assistant on a part-time basis.
Working closely with the Compliance Director, you will cover all aspects of compliance & regulatory work including money laundering, data protection, T&C and fund due diligence.
You will be responsible for:
- Undertaking post sale file checks on investments, pensions and insurance products, providing reports and ensuring remedial work is completed within company guidelines
- Data reporting and record keeping aiding the delivery of the T&C oversight programme
- Ensuring delivery of GDPR requirements on client database in line with company procedure
- Undertake annual Sanctions Checks
- Produce reports to aid the delivery of board reports including the AML/Fraud Report and Consumer Duty Report, and FCA returns such as on Complaints
- To aid with the regular reviews of compliance documentation, and implementation of new regulations.
- To undertake any ad hoc administrative or research tasks requested by the Compliance Director
Key attributes:
- Compliance experience gained in a financial planning or IFA environment
- Qualified to Diploma Level 4 (minimum) is essential.
- Attention to detail
- Good written and oral communication skills,
- Committed to providing high levels of customer service.
Applicants must be located and eligible to work in the UK without sponsorship.
Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
