Compliance Assistant

Synchronicity Financial Services are working exclusively with a financial services group who are looking to hire a Compliance Assistant to support their Wealth Management arm.

For this role, previous experience in financial services, ideally a wealth management/financial planning/IFA environment, is essential. Ideally you would have had experience in a compliance role and have started studying towards the CII Diploma in Financial Planning, although this is not essential.

Reporting to the Compliance Manager, you will work closely with them to assist with all areas of compliance for the wealth management business. Core responsibilities will include

• Assisting with creating, updating and maintaining policies, procedures, guidance and manuals
• Assisting with training and competency supervision such as reviewing KPIs, CPD, file reviews and training and development plans for IFA's and mortgage advisors
• Maintain records and logs on compliance areas such as SPS's, complaints, data breaches, qualifications etc
• Provide support and research on developing and new regulations affecting the business on subjects such as Consumer Duty, Data Protection and AML.
• Administrative tasks such as typing up meeting agendas and minutes

To be considered for this role you will need

- An independent and mature approach to working in a small team, office environment

- Good Excel, Word and PowerPoint skills

- Experience working in a financial services environment, ideally wealth management/financial planning.

- A desire to learn and willingness to complete appropriate qualifications with full study support offered

- Excellent communication and organisation skills

Whilst compliance experience is desirable, this role would also suit someone who has worked in an admin or paraplanning capacity and is looking for a career change.

This is an office based, full-time role but with flexibility around start/finish times around the company's core hours. You will benefit from working closely with a highly experienced Compliance Manager who will train and support your development within a compliance career and the company will offer full study and exam support to achieve the Diploma qualification.