Compliance Analyst

Job Description

Job Title: Compliance Assistant

Location: Oxford

Salary: £40,000 - £45,000

The Company:

The opportunity to join a growing National Wealth Management firm who offer financial advice to families, Companies and high net worth individuals. Their friendly and helpful approach is highlighted by their outstanding client retention rate.

With over 1 billion Assets Under Management this company is really taking a positive step within the wealth management space and is an excellent time for someone looking to join an expanding business.

Development is very important to them, so they are able to offer full exam support as well as other benefits such as additional bonus’s.

Responsibilities:

• Providing effective controls framework across the business
• Ensuring the business stays compliant with FCA rules and regulations
• Handling of client complaints
• Identifying and rectifying any rule breaches
• Implementing and developing internal systems

The Required Skills:

• Previous experience working in a Compliance position
• Previous experience working in Financial Services, Financial Planning experience desirable
• Good knowledge of both Pensions and Investments
• Good understanding of the FCA and the handbook
• Proficient using Microsoft Office and other back office systems
• Industry relevant qualifications desirable

To discuss this opportunity further, please contact one of our Financial Planning specialists at Capio Recruitment.

“INDSBWEA”