Directly assisting the Compliance Manager in the execution of their regular and ad hoc duties
Providing effective support and assistance in the undertaking of checks of all business partners, introducers, lenders and networks
Undertaking and providing feedback on Adviser file checks to ensure AML, regulatory and Company policies achieve the required standards
Fielding emails and calls from Advisors in relation to live cases and facilitating discussion relating to internal policies and regulatory compliance processes and case management.
Helping to maintain accurate and relevant business records and centralised compliance registers
Proactively identifying new responsibilities and looking for opportunities to streamline and draw additional value from the governance and compliance processes.
Any other duties as assigned and deemed commensurate with the role.
Required Knowledge, Skills, and Abilities
1-2 years experience of working within the FCA sector (Juniors, Case Administrator’s, Anti-Money Laundering)
We will consider compliance candidates who have experience within the following sectors: Mortgages, Estate Agency, Accountancy
Experience with the processes of file or audit checks, preferably within an FCA regulated environment
Experience within a compliance, checking or audit capacity is essential
Motivated and focused self-starter who has the ability to learn new skills
A strong grasp of written English and excellent proof-reading skills
Computer literate in Word, Excel and PowerPoint
A flexible approach to work, and the ability to work well as part of a dynamic team