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Our client, an award winning independent financial advice firm are looking for a Compliance Assistant to join the team on a permanent basis.
As Compliance Assistant you will assist the Risk and Compliance Director in ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company’s business plan.
Role Responsibilities:
- Provide assistance in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Plan and Monitoring Programme.
- Assisting in the reporting of the findings of all review and monitoring activity, where appropriate, identifying root causes / wider implications, making recommendations for change, agreeing any remedial actions, ensuring agreed remedial actions are carried out.
- Assisting with research on risk and compliance related developments applicable to the Company, providing advice and assistance to the Directors, Managers, Committees, Other Groups and Staff in respect of the impact of those developments on the Company’s policies and procedures.
- Providing ad-hoc advice and assistance in respect of Compliance related queries received by the Compliance Function.
- Participation in the Complaints Handling Process, ensuring all complaints are dealt with in accordance with the company’s Complaints Handling policies, FCA regulations and the requirements of the Professional Indemnity Insurers.
- Ensuring an appropriate level of communication with all parties, via telephone or in writing.
- Assisting with all routine regulatory reporting via RegData, ensuring that all required reports have been submitted in accordance with the applicable timetables.
- Assisting with collating data and preparing Management Information.
- Adhere to FCA regulations in accordance with our compliance procedures.
- With Compliance Department assistance, keep up to date with legislation/compliance matters.
Key Skills & Experience:
- Previous experience in regulatory / compliance role.
- Interest in regulation
- Preferably some experience in a similar (compliance) role gained within the Financial Services Industry, preferably in the Financial Adviser sector.
- Industry qualifications desirable but not essential e.g. CII Diploma in Regulated Financial Planning or another Accredited Body qualification
- Attention to detail with an understanding of internal control and management information systems.
- Ability to build and maintain relationships at all levels of the business to drive change and deliver “continuous improvement”.
- A high standard of communication skills including formal report writing.
- High level of IT literacy and Microsoft Office packages in particular Excel.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
