Compliance Associate

Sector: Accountancy, Banking and Finance
Salary: £25,000
Location: Ipswich
Role: Full Time
Contract: Permanent
Job ref: 907028
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Do you have compliance experience and are looking for a new challenge? 

Have you worked in financial services? 

Our client is a busy financial services organisation with a diverse client database, looking to take on a Compliance Associate to assist the Compliance manager with regulatory processes and procedures. 

We are looking for someone with experience in Compliance-related work and 1-2 years of experience in a financial services, or a similar role. We are also looking for someone who is highly motivated and results oriented. 

The role will be working within a busy office and involves the following duties: 

  • To provide a business friendly and approachable compliance service to the business teams whilst maintaining the necessary independence from these same teams. 
  • Work with the business to undertake the programme of compliance monitoring activities and following up on agreed actions. 
  • Review and monitoring of client files to asses client ‘Suitability’. 
  • Assist the Compliance Manager with the identification, resolution and recording of any errors and regulatory breaches and informing the correct bodies. 
  • Assist the Compliance Manager with the resolution and recording of client complaints. 
  • Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications. 
  • Maintain and manage all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date. 
  • Assist the Compliance Manager with the application, maintenance and evaluation of the compliance policies and procedures within the office. 

    The package includes a salary of up to £25,000 DOE plus company benefits - please note no parking is available on site although lots of car parks are available locally. 
Contact Bridie James to talk about this role on 01787 881962