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 Date: Jan 2025