Job Description

Responsibilities

• 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

• Experience with the processes of file or audit checks, preferably within an FCA regulated environment
• Motivated and focused self-starter who could learn new skills
• Strong organisational and communication skills • Detail oriented with commercial awareness of business requirements
• Ability to manage multiple tasks and working to strict deadlines
• A strong grasp of written English and excellent proof-reading skills
• Computer literate in Word, Excel, and PowerPoint
• Ability to provide excellent customer service to customers and stakeholders
• A flexible approach to work, and the ability to work well as part of a dynamic team
• Positive attitude with a strong desire to learn and progress