Compliance Assistant

3 weeks ago

Grantham, United Kingdom NJR Recruitment Full time

Compliance Support Administrator (Pensions & Investments)
Grantham
Salary up to £35,000

Hybrid working is available for this position

NJR are currently representing a well-established firm of Chartered Financial Planners who have been operating within the industry for over 25 years years our Client are a family oriented Firm of Financial Planners who over multiple offices spread across key locations within the Midlands area.

As a result of their ongoing growth and success now have an excellent opportunity for a talented Compliance Assistant/ File Reviewer to join their buoyant organisation.

Our Client are a boutique firm of Financial Planners who pride on their culture internally which is family orientated, development is available for those who desire and industry related exams will also be funded for those who have the desire.

to assist the Compliance Director and Operations Manager to ensure that there organisation complies with the rules & regulations as laid down by the FCA whilst also paying due regard to Company policies and procedures by carrying out a series of regular checks on documentation and files as required.

**Responsibilities**:
" Maintain, update, and monitor compliance standards

" Conduct high-risk advice checks and file-checks to ensure the firm is meeting its regulatory obligations and achieving excellent standards of Compliance

" Monitor adherence to file review feedback, ensuring all outstanding items are completed in a timely manner

" Provide technical updates and support to team members as required

" Maintain knowledge of regulatory developments and rule changes to support the firm's adherence to high levels of compliance

" Advise management of changes in respect of regulatory issues and any other related issues

" Arrange and deliver relevant training to team members with respect to regulation and compliance

" Other general duties as requested from time to time commensurate with skills, experience and status

**Requirements**:
Ideally level 4 qualified with a good understanding of the advice process and what a compliant file consists of.

Demonstrates a pro active approach to gaining knowledge of pensions, investments, mortgages and general insurances processes to ensure cases are checked efficiently and accurately

Our client is looking for a confident, switched-on individual who has the to drive exceed expectations and deliver a high level of professionalism.

For further information please contact one of our specialist consultants quoting REF: NJR13221

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