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Form of workOur client is an award winning, Top 100 Financial Adviser ranked, chartered Financial Planning firm which is rapidly expanding. They have a presence across the South East of the UK and pride themselves on providing long term support to their clients.
Following recent growth, the company are now hiring for a Compliance Assistant to join the firm's St Albans office. The successful candidate will be responsible for providing support in relation to all compliance activities throughout the firm and will report directly into the Compliance Manager.
You will join a team which champions progression, and pride themselves as a 'people-first’ business - the team encourage idea sharing and promote a positive working environment.
Your day to day duties as a Compliance Assistant will include:
- General client due diligence and AML checks
- Compiling compliance monitoring plans
- Review of financial promotions
- Checking and auditing suitability files
- Maintaining registers and records to be used in the event of complaints, breaches, training, escalations, promotions
- Assistance in committee meetings
- Review of policies and procedures
- Input of regulatory returns
In addition to a competitive starting salary of £32,000 - £35,000 (flexible depending on experience) per annum, the firm offer a benefits package to include a 25 days of annual leave, extra birthday day off, EAP system, early finish Fridays, flexible working and free parking.
What's needed for me to be considered?
- Have at least 1 year’s Compliance Assistant or compliance officer experience (ideally in the Financial Planning/Mortgage industry)
- Working to a high standard and having excellent IT skills
- Strong team player but able to work on your own initiative
- Ideally you will be working towards an industry-related qualification
What next?
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the Compliance Assistant opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.
Job Synonyms: Compliance Officer, Compliance Assistant Manager
