A fantastic opportunity has been created with an award-winning firm of financial planners that offers independent financial planning advice to individual clients in Bath for a compliance assist to join the growing team.
They are very well established firm with a considerable client base and following a period of particularly strong growth, they are looking to recruit a compliance assistant to work closely with the Compliance Manager to make sure the firm provide high quality ongoing support and make sure that the firm remains compliant with the current rules and regulations of the FCA.
The perfect candidate will be pro-active and forward-thinking as this is a small team of compliance professionals. They offer an excellent package, exam support and guidance from some highly technical and qualified professionals who will aid in your development.
About the Role:
- Conducting compliance monitoring
- Monitor breaches and manage resolutions to ensure the correct outcome for both Client and the business
- Monitor and record Sanction notifications
- Review and sign off marketing documentation
- Monitor for and provide guidance on regulatory change, output from thematic reviews, industry guidance etc.
- New client documentation check and sign off
- Assisting with risk register updates and reviews
- Previous experience within a compliance position
- Good working knowledge of the FCA regulators and other relevant legislation
- Experience in a wealth Manager/Financial Advisor/IFA firm would be preferable
- Self-motivated and team oriented
- Excellent written and verbal communication
Compliance Support, Compliance analyst, Compliance Officer
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