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Compliance Assistant

4 months ago

Northampton UK, Northamptonshire, United Kingdom MHA Caves Wealth Full time

MHA Caves Wealth is the wealth management division of MHA, one of the largest firms of accountants, tax and business advisers in the UK.


We provide expert, independent wealth and investment management services for individuals and their businesses. The firm has its head office in Northampton and serves a wide range of MHA offices across the country.


Our success has been built on a reputation for professionalism, integrity and a ‘client first’ mentality, which has seen the firm develop through more than 115 years of history.


Compliance Assistant


To assist and support the Compliance Manager and Compliance Officer to ensure that the firm and staff remain compliant in all areas and functions.


General Responsibilities:

• Helping to maintain and promote a positive compliance culture within the firm.

• Complying with the firm’s relevant processes and procedures at all times.

• Advising relevant people in the firm on how to comply with their regulatory obligations.

• Assisting the Compliance Manager with delivery and completion of the Compliance Monitoring Programme.

• Maintaining an understanding of FCA rules, regulations, principles, and codes of conduct. Dealing with regulatory information requests in an open and honest manner.


Key Responsibilities:

• Ensuring the firm keeps up to date management information (MI) and that any adverse trends or recurring problems identified are reported to the Compliance Manager.

• Assisting the Compliance Manager in ensuring appropriate compliance processes and procedures are in place covering all areas of the firm’s business activities.

• Assisting the Compliance Manager with the development and review of internal policies, procedures and related documentation.

• Ensuring all firm and client records are retained in line with our data security, data protection and record keeping policies.

• Assisting the Compliance Manager in ensuring all required notifications to the FCA are accurate and are made in a timely way – including data compilation as required.

• Assisting the Compliance Manager in carrying out client file reviews.

• Assisting the Compliance Manager in the delivery, coordination and recording of Training & Competence items for all relevant staff.

• Assisting the Compliance Manager in ensuring the firm’s compliance records are kept up to date at all times (including personal account dealing, complaints, breaches, new business registers etc.).


Skills/Experience:

• Previous administration experience gained from either Financial or Professional Services.

• Diligent, analytical, with a good eye for detail.

• Excellent written and verbal communication skills.

• Good organisational and time management skills.

• Ability to multi-task.

• Excellent IT skills, including use of Microsoft Excel, Word, and PowerPoint.

• Ability to foresee potential issues and to provide possible solutions.