Back to search
- Company bonus
- Holiday - 25 days per year plus bank holidays
- Increasing to 27 days after 5 years’ service
- Smart Pension scheme
- Phantom share scheme
- Private Medical Insurance
- Salary sacrifice scheme
- Life assurance
The Burford Recruitment Company is delighted to be working with our client, a prestigious financial services business in Newcatle-under-Lyme, Staffordshire, to find a Compliance Assistant. This is a fantastic opportunity for a driven individual to play a key role in ensuring the company remains compliant with all relevant regulatory frameworks.
Key Responsibilities:
- Support the Compliance Officer in implementing an effective systems and controls framework to ensure compliance with FCA regulations and other relevant legislation (e.g., Data Protection Act, Proceeds of Crime Act).
- Assist in monitoring and reviewing business processes to safeguard against risk, fraud, or irregularities.
- Help identify and rectify rule breaches, ensuring all reporting requirements are fulfilled.
- Provide advice to employees to ensure process improvements align with regulatory standards.
- Coordinate the handling of client complaints, ensuring all responses meet compliance requirements.
- Collaborate on the creation and improvement of internal systems to maintain regulatory compliance and enhance operational efficiency
- Ensure compliance with Health and Safety requirements and conduct an annual review of the Business Continuity Plan (BCP).
Skills & Experience Required:
- Minimum of 3 years’ experience in a compliance role
- Knowledge of FCA regulations and some monitoring work.
- Strong understanding of business processes, standards, and policies within the financial services industry.
- A relevant industry qualification such as CISI Investment Operations Certificate (IOC) or equivalent is preferred; strong industry experience will also be considered.
- Ability to manage a varied workload and work under pressure within a small team.
Please note: This is a fully office based role and you will need to live within a commutable distance to Newcastle-under-Lyme, Staffordshire.
This is a great opportunity for someone looking to advance their career in compliance, offering competitive salary and excellent professional growth opportunities
Apply now to join a dynamic team and make a meaningful impact!
