Compliance Assistant

3 days ago


Guildford, United Kingdom Synchronicity Financial Services Full time

Synchronicity are recruiting for a financial services client who are looking for a Compliance Assistant to join their small team.


This role is broad and varied and will provide an excellent grounding in all areas of wealth management compliance, including training and support with relevant qualifications.


  • Assisting with creating and updating policies and procedures
  • Assist with supervisory activity in line with the Training & Competency Scheme
  • Assist with financial advice file reviews
  • Research regulatory developments
  • Maintain records, logs and complete various administration tasks related to Compliance


To be considered for this role is essential that you have

  • Some experience gained in the financial services or insurance sector
  • Intermediate to advanced Excel skills
  • An interest in FCA regulation and a willingness to complete relevant qualifications


Ideally you will have worked in a compliance, quality assurance, file review or complaints environment already, although this is not essential.


This role is full time in the office but does offer flexi-hours Mon-Fri.


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