Address
Form of work
SalaryReed Financial services are representing a well known and regarded IFA busienss with national coverage. I am supporting them with a Compliance Assitant opportunity in their Bath office,on a hybrid basis.
We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join their growing Compliance and Risk team, reporting to the Head of Compliance Support, an essential part of the Compliance team under the Group Chief Compliance Officer. As part of the team, you’ll have the opportunity to work in a fast-paced, collaborative environment where you’ll be able to utilise your skills and expertise to deliver amazing outcomes for our clients.
You’ll have responsibility for the following:
• Helping to review Complaints should they arise and assist in the calculation of any potential redress to ensure we treat all our customers fairly.
• Providing compliance support on projects as we respond to changes in regulation or look to make improvements to how we operate.
• Assisting in the allocation of file checks to test the quality of advice given by advisers. This would also include tracking MI on checks to help new advisers reach competent adviser status (“CAS”).
• Working on the policy framework to ensure policies remain current and are presented to the relevant Boards and Committees for sign off when due.
• Horizon Scanning for any new or updated regulation and assessing any potential impact on both the company and their clients.
• Adviser Support where necessary on technical questions, including liaising with Three Sixty (or any other compliance third party) to establish Saltus’ position.
• Maintaining various Registers of activity, including conflicts of interest, breaches, errors, and gifts and inducements.
• Helping with oversight of the T&C Framework from our advisers.
What skills and experience are we looking for:
• Previous compliance experience in a first line capacity, including an understanding of how a three lines of defence model works.
• A sound working knowledge of the FCA Handbook.
• Experience within the Financial Services industry, ideally within a private client advice or asset management / DFM business.
• The desire to take on a variety of tasks, adapting to changing business needs.
• Excellent interpersonal, verbal, and written communication skills with strong attention to detail.
• Outstanding communication skills, able to communicate with departments across the business, at all levels.
• The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders.
• Proficient computer skills, Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint and Excel).
• A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous.
• Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision.
Salary range £32,000 – £38,000 dependent on experience, alongside 28 days’ holiday (plus bank holidays and your birthday), study assistance, life assurance, income protection and a pension, alongside access to our flexible benefits platform.
Individuals looking for part time or flexible hour working are also welcome to apply, with salary and benefits offered on a pro-rate basis.
