MERJE are supporting a boutique independent financial planning firm in their search for a Compliance Assistant on a part-time basis.
Working closely with the Compliance Director, you will cover all aspects of compliance & regulatory work including money laundering, data protection, T&C and fund due diligence.
You will be responsible for:
* Undertaking post sale file checks on investments, pensions and insurance products, providing reports and ensuring remedial work is completed within company guidelines.
* Data reporting and record keeping aiding the delivery of the T&C oversight programme.
* Ensuring delivery of GDPR requirements on client database in line with company procedure.
* Undertake annual Sanctions Checks.
* Produce reports to aid the delivery of board reports including the AML/Fraud Report and Consumer Duty Report, and FCA returns such as on Complaints.
* To aid with the regular reviews of compliance documentation, and implementation of new regulations.
* To undertake any ad hoc administrative or research tasks requested by the Compliance Director.
Key attributes:
* Compliance experience gained in a financial planning or IFA environment.
* Qualified to Diploma Level 4 (minimum) is essential.
* Good written and oral communication skills.
* Committed to providing high levels of customer service.
Seniority level
Associate
Employment type
Part-time
Job function
Finance
Industries
Financial Services, Investment Advice, and Investment Management
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