Job Description

- Developing, reviewing and updating policies, procedures and client facing documents

- Compliance monitoring and reviewing breaches

- Regulatory horizon scanning and supporting the Compliance Officer with any required implementation

- Assisting with risk assessments

- Assisting with regulatory returns

- Assisting with the implementation of the T&C scheme

- Acting as the firms Data Protection Manager

Required Knowledge, Skills, and Abilities

For this role, you will need to have gained solid compliance experience in a wealth/IFA/financial planning environment. Ideally you will already be Level 4 Diploma qualified (CII/CISI) or at least actively studying. Ideally you will also have experience of managing direct reports.