Compliance Assistant
Walker Crips Group plc
York, UK
Published 1 month ago
Compliance Management Systems / Technology
Job Title: Compliance Assistant (part time)
Location: York
Industry Sector: Financial Industry
Department: Compliance
Job Specification - Main purpose/aim of the job:
To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks:
Location: York
Industry Sector: Financial Industry
Department: Compliance
Job Specification - Main purpose/aim of the job:
To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks:
- To provide a business friendly and approachable compliance service to management, staff and external parties;
- Review and monitoring of client files to assess client 'Suitability';
- Carry out ongoing AML reviews;
- Produce and maintain regulatory MI reports;
- Assisting with the identification, resolution and recording of any errors and regulatory breaches;
- Assisting with the investigation, resolution and recording of client complaints;;
- Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications;
- Assisting with the submission of FCA returns;
- Helping to review and approve financial promotions as and when required;
- Helping to monitor the training and competence (T&C) for certified individuals (Financial Planners);
- Review and update in-house Compliance policies and procedures;
- Review and update client literature;
- Liaise with the Compliance Manager regarding risk, regulatory changes and any other ongoing issues.
- Demonstrate a desire or aptitude to work in compliance:
- Compliance-related work placements
- Relevant Experience of working in a financial services firm of at least 2 years
- Genuine interest in pursuing a career in compliance
- Highly ethical
- Appropriate professional examinations are not a requirement but desirable
- Ability to engage with the full range of business functions particularly in order to carry out the monitoring work
- Ability to challenge in a constructive way
- Investigative skills
- Analytical and methodical approach
- Self-starter and highly motivated
- Results oriented
- Organised
- Numerate
- Observant and resourceful
- Problem solving abilities
- Detail orientated
- Compliance Manager