||Accountancy, Banking and Finance
Contact Bridie James to talk about this role on 01787 881962
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.