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Financial Services

Worthing

19/04/2022

Type of Position: Compliance Assistant
Pay: £30-35k

Compliance Assistant

Our client is looking for an experienced Financial Service Professional to join their Global Compliance team as a Compliance Assistant.

Key responsibilities:

  • File checking pre and post advice by the Financial Planners
  • Spot checking annual reviews
  • Providing feedback to Financial Planners
  • Reporting any themes or business risks
  • Answering queries from across the business
  • Additional compliance monitoring through reports/data derived from CURO
  • Support with complaints investigations and responses
  • Due diligence on new and existing introducers when required
  • Support for checking advertising and publications are compliant
  • Contribute to quarterly and annual board reports
  • Issuing communications to colleagues and liaising with other teams within the group
  • Ad-hoc project work
  • Research and reading to remain current with industry and legislative changes 
  • Ensure that fair treatment of customer requirements are met by the company
     

Skills and Experience:

Essential

  • Level 4 Diploma Qualified (or close to completing)
  • A clear understanding of financial services regulations and FCA principles
  • Experience in compliance monitoring, specifically file checking
  • Conversant with Microsoft Office products
  • High level of computer literacy generally (learning new software)
  • Good communication skills, verbal and written

Desirable 

  • Experience of CURO 
  • Experience of CashCalc
     

Please email your CV to sam@artemisrecruitment.co.uk to register interest.

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