Company Information:
We are recruiting for Wealth Management business looking to hire a junior Compliance Assistant to join their Compliance team on an initial 12 month contract. The role will be very varied and offer a great range of exposure for the right individual.
Main Responsibilities:
- Maintain various registers, lists and logs as required under FCA regulations
- Provide general regulatory guidance and advisory services to certain internal business areas.
- Collate data from various sources and prepare internal reports on a regular basis.
- Support projects ensuring compliance with regulatory and legislative requirements.
- Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
- Identify general regulatory and compliance risk issues including the review and assessment of FCA regulatory updates/change in legislation.
- Ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
- Assist with the development and implementation of Compliance and AML procedures.
- Develop and maintain ongoing management information for the Management Board.
Job Requirements:
- At least 12 months Compliance experience working within a similar Wealth Management firm.
- Relevant qualification would be preferable however most important is a drive & willingness to learn by getting involved in a range of administrative duties.
- Excellent communication skills, both written & verbally.
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