Compliance Assistant
2 weeks ago
Davies Resourcing is working with an established and very well-regarded financial planning business who provide a range of services to their clients. Based in the City of London office, they are seeking a Compliance Assistant to provide support to theHead of Compliance in their day-to-day monitoring of the firm’s (and its acquisitions) compliance to regulatory requirements under the FCA and industry standards.
**RESPONSIBILITIES**:
- Proof reading and amending key policies and procedures.
- Maintaining compliance registers, including but not limited to new business records, complaint registers and financial promotions registers.
- Collating management information for quarter end reports.
- Issuing staff training modules and monitoring their progress.
- Ensuring all members of staff are scheduled into their compliance meetings.
- Monitoring key compliance deadlines.
- Assisting in completing regulatory returns and surveys.
- Ensuring file review feedback is actioned.
- Providing timely management data and information to the Head of Compliance.
- Creating process documents.
- Assisting in acquisition due diligence.
- Undertaking annual Fit and Proper assessments for all advisers.
**REQUIREMENTS**:
- Excellent communication skills
- Good team working skills
- Good analytical skills
- Proficient in Office-based software
- Ability to see the bigger picture of the company’s goals, and to link this to all tasks and projects
- Ability to work under pressure
**WHY YOU SHOULD APPLY**:
- Salary £30k - £35K
- Strong range of benefits
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