Compliance Assistant

3 months ago

Hawarden, United Kingdom Templegate Full time

**TEMPLEGATE RECRUITMENT**

**Financial Services Specialist Recruiters**

**Job Title**: Compliance Assistant

**Location**: Hawarden

**Benefits**:
Competitive salary and performance-based incentive.

Collaborative and supportive work environment with a focus on work-life balance.

Comprehensive benefits package including a pension Scheme with 5.5% employer contributions, paid sick leave, Income Protection, Critical Illness and Death in Service, Health and Life Insurance;
21 days holiday + statutory holidays (increasing with length of service) + office closure over Christmas (normally 4 days)

Opportunities for professional growth and advancement within the company.

Fast-growing firm and so there are numerous opportunities for career progression and personal development. They will gladly provide training and financial support for those who are keen to undertake further professional qualifications.

Hybrid working available following successful probation period and manager approval.

**Salary**: £25,000 to £28,000 depending on qualifications and experience

**About the Company**:
Our clients are a growing, privately held independent financial advisor firm. They are a team of 40+ financial planners and technical support staff all working together to build lifelong relationships with their colleagues and their clients whilst helping people achieve their financial ambitions. Our clients have a people-first culture which is supportive and collaborative, with multiple progression opportunities as the business continues to grow.

The mission of this role is to deliver outstanding client outcomes by cultivating long lasting client relationships, supporting their financial advisers in producing and executing recommendations, identifying areas for client experience improvement and ensuring client satisfaction through regular effective communication and contact.

**What Your Day to Day Duties Will Include**:

- Collaborate with financial advisers to ensure that they are aware of and adhere to regulatory requirements and best practices.
- Assist in the development, implementation and maintenance of compliance policies and procedures
- Assist in the preparation and submission of regulatory reports & filings.
- Participate in training session for employees to enhance their understanding of compliance requirements.
- Ensure all client files are compliant on an ongoing basis and company KPI’s are met (e.g. annual review monitoring).
- Manage complaints and follow company process to investigate and ensure complaints registers are updated regularly.
- Produce management information for the monthly compliance report.
- Assist with other compliance related projects.
- Ensure compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times.
- Review marketing materials, client communications and other documents for compliance with regulatory guidelines.

**What is Needed to Be Considered**:

- Studying towards diploma required with Level 4 preferred
- Knowledge of pensions, investment, mortgages and protection related products and services
- Good communication skills, both written and verbal
- Ability to work independently and to deadlines
- Highly organised, able to prioritise workload and manage colleagues to deliver client outcomes
- Good knowledge of Intelligent Office
- Experience with FE Analytics, Cash Calc
- Experience with provider platforms (Standard Life, Quilter, Prudential) preferred - Strong work ethic. Takes accountability for results and getting things done. Good attention to detail.
- Proactive nature with ability to multi-task and work on own initiative
- Team player and be willing to collaborate on projects as part of a fast-growing and dynamic team.
- Due to the amount of response we receive, unfortunately we are not able to give feedback to individuals, if you have not heard back within 7 days please assume that you have not been successful for the role you have applied for_

**Salary**: £25,000.00-£28,000.00 per year

**Benefits**:

- Company pension
- Free parking
- On-site parking

Schedule:

- Monday to Friday

Work Location: In person

Reference ID: 1598

  • Safety Certification Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time Join us in building a world-class team CSA Group is committed to achieving an ideal: making the world a better, safer, and more sustainable place. This ideal has been at the heart of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century later,...

  • Safety Certification Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time Join us in building a world-class team CSA Group is dedicated to achieving a vision: to make the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century later,...

  • Safety Certification Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time Join us in building a world-class team CSA Group is committed to a vision: to make the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century later, CSA Group...

  • Safety Certification Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time Join us in building a world-class team CSA Group is committed to a vision of making the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century later, CSA Group...

  • Safety Certification Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time Join us in building a world-class team CSA Group is dedicated to achieving a vision: to make the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century later,...

  • Certification Engineer

    3 months ago

    Hawarden, United Kingdom CSA Group Full time

    Statut d'emploi: Permanent Type d'heures: À temps plein Nous avons besoin de vous pour former une équipe de calibre mondial Les activités du Groupe CSA reposent sur l’atteinte d’un idéal : rendre le monde meilleur, plus sûr et plus durable.Cet ideal est au coeur de notre mission depuis 1919, année où nous avons élaboré notre première...

  • Production Coordinator

    6 days ago

    Hawarden, United Kingdom Kinetic PLC Full time

    Job SummaryKinetic PLC is seeking a highly organized and detail-oriented Production Administrator to join our team. As a key member of our operations team, you will provide administrative support to our production team, ensuring seamless day-to-day operations.Key ResponsibilitiesAdministrative Support: Provide administrative assistance to the production...

  • Production Coordinator

    6 days ago

    Hawarden, United Kingdom Kinetic PLC Full time

    Job SummaryKinetic PLC is seeking a highly organized and detail-oriented Production Administrator to join our team. As a key member of our operations team, you will provide administrative support to our production team, ensuring seamless day-to-day operations.Key ResponsibilitiesAdministrative Support: Provide administrative assistance to the production...

  • Gas Laboratory Technician

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Job Title: Gas Laboratory Technician Company: CSA Group Employment Status: Regular Time Type: Full time BUILDING A WORLD CLASS TEAM STARTS WITH YOU At CSA Group, we are committed to enhancing safety, sustainability, and quality across various industries. Our mission has been steadfast for nearly a century, from establishing the first...

  • Quality Systems and Processes Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Work Hours: Full-time We need your expertise to enhance our global team The CSA Group is committed to a vision: to make the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we developed our first engineering standard for railway bridges. Nearly a century...

  • Quality Systems and Processes Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Hours Type: Full-time We require your expertise to develop a world-class team The CSA Group is dedicated to achieving an ideal: making the world a better, safer, and more sustainable place. This ideal has been at the core of our mission since 1919, when we established our first engineering standard for railway bridges....

  • Quality Systems and Processes Specialist

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Employment Status: Permanent Hours Type: Full-time We require your expertise to build a world-class team The CSA Group's activities are grounded in a singular ideal: to make the world a better, safer, and more sustainable place. This ideal has been at the heart of our mission since 1919, the year we developed our first engineering standard for...

  • Gas Laboratory Technician

    3 weeks ago

    Hawarden, United Kingdom CSA Group Full time

    Job Title: Gas Laboratory Technician Company: CSA Group Employment Status: Regular Time Type: Full time BUILDING A WORLD CLASS TEAM STARTS WITH YOU At CSA Group, we are committed to enhancing safety, sustainability, and quality across various industries. Our mission has evolved over nearly a century, establishing standards that ensure the...

  • Laboratory Technician

    3 months ago

    Hawarden, United Kingdom CSA Group Full time

    Statut d'emploi: Permanent Type d'heures: À temps plein Nous avons besoin de vous pour former une équipe de calibre mondial Les activités du Groupe CSA reposent sur l’atteinte d’un idéal : rendre le monde meilleur, plus sûr et plus durable.Cet ideal est au coeur de notre mission depuis 1919, année où nous avons élaboré notre première...

  • Warehouse Operations Specialist

    3 weeks ago

    Hawarden, Flintshire, United Kingdom Randstad Delivery Full time

    Position OverviewWe are seeking a dedicated Warehouse Operations Specialist to join our team. This role is ideal for individuals looking to advance their career in a dynamic warehouse environment.Key ResponsibilitiesEngage actively in the loading and unloading processes, ensuring efficient material handling.Maintain a valid Counterbalance Forklift License as...