Compliance Assistant

3 weeks ago

Taunton, United Kingdom Reed Business Support Full time

My client are an established Financial Planner seeking an experience administrator to join their team.

**Overview**

The purpose of this role is to support the Compliance and HR Director in all aspects of their role, and requires strong organisational and administrative skills, along with a keen attention for detail.

This role is intended to operate across all financial services companies within the Group.

The main place of work for this role is in the office in Wellington, however travel between offices will be necessary, along with the flexibility to work from home at points during the working week.

**Responsibilities**
- Assist with the production, distribution and monitoring of group wide policies that the Compliance and HR Director is responsible for.
- Provide a framework for storing all relevant registers, checklists, procedural documents, and policies that the Compliance & HR Director is responsible for.
- Provide MI as requested for the Compliance & HR Director.
- Assist with the use of Financial Assess by issuing modules group wide and ensure these are completed.
- Assist in chasing advisers for required information.
- Attend Adviser 121 meetings to take notes.
- Type up notes for role plays/observed visits.
- Regularly check the FCA register/s and refer any concerns.
- Provide requested documents for file checks and/or when a complaint is received.
- Maintain SPS/Membership/Qualification matrix for all staff.
- Proofread Compliance Reports, the firms T&C scheme and related documentation.
- Maintain the groups compliance calendar and prompt where required.
- Organise Advisers weekly ‘Client Management’ data and submit to HR & Compliance Director.
- Assist with the groups recruitment and induction and Staff Review processes as required.
- Maintain HR records (currently on a shared drive), ensuring all relevant documentation is on file and up to date for all existing staff.
- Create files for new joiners and ensure that all documentation is present and correct.
- Draft ‘Welcome Letters’ for new joiners, and other correspondence as required.
- Ensure Finance are given required information for new joiners and leavers.
- Take responsibility for ensuring Bright HR is kept up to date with relevant personal information for all staff and make amendments as required.
- Request and compile information from all staff across the group as required.
- Assist with the groups use of WorkBuzz (or other related software), providing administrative support as required.

**Knowledge, Skills, Experience**
- Demonstrate practical awareness and basic knowledge of regulatory expectations, combined with the flexibility and willingness to learn
- Analytical in solving tasks with a keen attention for detail
- Strong communication skills, both written and verbal
- Possess excellent organisational with an ability to work under pressure and prioritise
- Deliver effective and positive communication, and demonstrate competent use of IT and familiarity with business software such as Microsoft Office

**Attitude & behaviour**
- Desire to complete tasks to the highest standards and in a timely fashion, taking ownership and accountability for own actions
- A positive and proactive approach to work and a desire to help and support the wider team
- Calm and considered outlook in approach to problem solving

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