We are representing a well-established Chartered firm of Financial Planners who have offered advice in pensions and investments for more than 35 years. The company delivers innovative, bespoke, and tailored financial planning solutions for clients.
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Overall scope of the job
Under the training and guidance of the Compliance Manager, you will support the team to meet regulatory requirements in respect of compliance monitoring controls for the Business
Maintain records that meet the requirements of the firm and the regulator
Main tasks
Provide recording and statistical data obtained from a variety of sources to support the various compliance functions. To help ensure that the company complies with the FCA regulations, with legislation relating to the prevention of money laundering, financial crime, and fraud. Including:
Client money
Complaints
Data protection
Financial reports and resources, e.g. GABRIEL,
Professional indemnity insurance
Training and Competence
Senior Managers and Certification Regime
Maintain analyse and report data from a range of compliance registers.
Data required to support the investigation of complaints
Maintain records and collate Management Information (MI) and Training & Competence
New business and review meeting service standards
Compliance Team Data Recording
Assist with the preparation and update of individual T&C files
Create and maintain testing on CII Assess
These are the initial tasks to be undertaken within the role. It is envisaged that this is a growing role and that once competent in the above duties the individual will have additional capacity to assist and support the compliance manager, particularly in the areas of data recording/ reporting and project work.
Hours of Work and Employee Benefits
Full-time position
12 months fixed term contract initially
Office based
£20,000 to £23,000 dependent on relevant knowledge and experience
Discretionary bonuses
2 x salary life assurance
Pension; 5% employer contribution, increasing incrementally in recognition of service. Salary sacrifice scheme available.
Private Medical Insurance – essentials cover
24 days holiday initially, increasing with service
Free on-site parking
Qualifications
Educated to A level standard (or equivalent knowledge gained through experience)
Knowledge, Skills and Experience
At least 2 years’ experience of working in an administrative role in a regulatory environment.
Basic knowledge of FCA guidelines and principles
Experience of working in the compliance field would be advantageous
Good attention to detail
Good IT / keyboard skills
Ability to communicate effectively written and verbal.
Ability to create and maintain accurate paper and computer-based records
Compliance Assistant
We are representing a well-established Chartered firm of Financial Planners who have offered advice in pensions and investments for more than 35 years. The company delivers innovative, bespoke, and tailored financial planning solutions for clients.
Qualifications
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