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
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:
o Compliance-related work placements and understanding of suitability reports
o 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
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