£25000 - £30000 Per year
Compliance Assistant
Permanent,Full-time
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
Skills and experience required
- 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
Reference no: 101763