Compliance Assistant
4 days ago
Our client, a wealth and pensions company, is seeking a Compliance Assistant to join their team in a broad compliance role providing support to the Compliance Manager. Some financial services work experience is required, but full training will be given.This is a full-time office based role - onsite parking is available.
**Tasks & Responsibilities**:
- Assist with creating, updating and maintaining the policies, procedures and guidance notes and to upgrade the compliance manual.
- Assist with supervisory activity such as reviewing and maintaining KPIs, CPD, file reviews and Training & Development Plans for IFAs.
- To assist with anti-money laundering, FATCA, CRS and other compliance queries and to understand the documentation of entities, SIPPS and SSASs.
- Develop an understanding of the current regulatory issues and to support the Compliance Manager with the future impact of new legislation such as MIFID 11, GDPR and SMCR on the Group.
- Assist with ad hoc projects such as capital adequacy, non-standard assets, LEI registrations etc.
- Assist with internal training and keep records and results spreadsheet up to date.
- To maintain records and logs on compliance areas such as SPSs, pension administration exams, complaints, data breaches, document versions, qualifications, KPIs etc.
- General admin support for example take responsibility for typing up the agenda and minutes of meetings.
**Experience**: Work experience gained within financial services - ideally within compliance although not essential. Strong IT skills including Word, Excel and PowerPoint.
**Qualifications**: A graduate or studying towards CII DipPFS with at least CF1 (UK Financial services, Regulation & Ethics) already obtained.
**Benefits**:Study support, 25 days holiday, 5% matched pension, private healthcare for employee and partner, 4x salary life cover, flexi-time around core hours of 10am-4pm.
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