My client is a multi-award winning professional and ambitious organisation with a strong people-first culture and they are looking for a Compliance Assistant to join their team. We are able to welcome applications from trainee through to experienced level hence the wide banding.
- Directly assisting the Group Head of Compliance in the execution of their regular and ad hoc duties
- Working to develop, maintain and enhance training practices across the business in partnership with key internal stakeholders
- Providing effective support and assistance in the undertaking of checks of all business partners, introducers, lenders and networks
- Carry out duties in line with FCA regulatory framework and responding to changing guidance as required
- Maintaining compliance with the requirements of the FCA’s Senior Managers’ Regime in so far as it relates to the activities of the Group.
- Assist with ensuring the group complies with anti-corruption legislation and regulation, including anti money laundering, anti-bribery and anti-fraud
- Assist with the annual assessment of compliance and regulatory reporting
- Helping to maintain accurate and relevant business records and centralised compliance registers
- Proactively identify new responsibilities and looking for opportunities to streamline and draw additional value from the governance and compliance processes.
- Any other duties as assigned and deemed commensurate with the role.
- Experience with the process of undertaking file checks and case monitoring in line with FCA guidance
- Motivated and focused self-starter who has the ability to learn new skills quickly
- Strong organisational and communication skills
- Detail oriented with commercial awareness of business requirements
- Ability to manage multiple tasks and working to strict deadlines
- A strong grasp of written English and excellent proof-reading skills
- Computer literate in Word, Excel and PowerPoint
- The motivation to go above-and-beyond for our customers and business
- Able to provide excellent customer service
- A flexible approach to work, and the ability to work well as part of a dynamic team
- Positive attitude with a strong desire to learn and progress
- Great bonus scheme, free onsite parking and 25 days holiday
Please note that we expect a high response to this position if you have not had a response within the next 3 days please assume that on this occasion you have been unsuccessful.