Compliance Assistant
RemoteStar
Part-time
On-site
Cambourne, United Kingdom
Industry Sector: Financial Industry (Independent financial planning advice)
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.
Experience & Other Requirements:
Demonstrate a desire or aptitude to work in compliance:
oCompliance-related work placements and understanding of
suitability reports
oRelevant 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
Person Specification:
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
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.
Experience & Other Requirements:
Demonstrate a desire or aptitude to work in compliance:
oCompliance-related work placements and understanding of
suitability reports
oRelevant 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
Person Specification:
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
Job Title: Compliance Assistant (part time)
Location: York
Industry Sector: Financial Industry (Independent financial planning advice)
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.
Experience & Other Requirements:
- Demonstrate a desire or aptitude to work in compliance:
- Compliance-related work placements and understanding of suitability reports
- 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
Person Specification:
- 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
Reporting to:
- Compliance Manager
Compliance ManageDate: Jan 2025