An exciting new role has been created due to company expansion and is now available for a technically astute Compliance Assistant to play a support role to a Head of Department at our client's offices based in Salisbury.
The primary focus of the role will see you field technical questions and ensuring systems, processes and business take-on and ongoing review meets regulatory requirements and company standards
We are looking for a candidate who has experience of working within a Wealth Management/IFA practice.
Some other key responsibilities will include:
To work in conjunction with the Head of department to both review and implement compliant processes
Ongoing adherence to the policies contained in the Compliance Manual
Provide support to the business by acting as a referral point for technical and compliance queries
Take on specific tasks and projects where a technical or compliance background is required
Take ownership of ongoing personal development
Comply with documented departmental policies and procedures and encourage others to do so
Assist, where required, in determining training needs with regards to both new and existing regulatory (FCA and HMRC) requirements
Assist the management team in providing training, development and coaching to team members.
Contribute to process reviews, constantly seeking ways to streamline and improve
Maintain good business relationships with internal and external customers
Assist in the regulatory oversight of outsource partners
Achieve and maintain competence as required by the Company’s Training and Competence Scheme.
Participate in reviewing proposed new business relationships and participate in the approval process
To ensure that our client's customers are treated fairly and receive a consistent service
Act as a reference point to Operations for due diligence on historic business and ensure appropriate records are maintained
When it comes to any Compliance role we look for the 'six essential skills' in order to perform to a high standard. With this role as it's a new position we are also looking for at least two years prior experience of working in a Compliance capacity within a FCA regulated environment.
Ability to interpret
Attention to detail
Attention to the big picture
Ability to apply rules to facts
Risk assessment capabilities
This is a full time role, working within a growing enterprise whereby you have the opportunity to work closely with a Senior Leadership team.
For further information please contact Liam for more details.