Compliance Assistant

Fresh Recruits Ltd
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

Job Title: Compliance Assistant
Location: Chandlers Ford, Hampshire
Salary: DOE

We are currently looking for a Compliance Assistant to assist with the maintenance and administrative aspects of our client's Compliance Department.

Job Purpose:

To provide an efficient and effective high level administrative support within the department, to undertake a wide range of projects in support of the Compliance Manager (CM) and to develop the role.

Role Activities:

  • To produce reports at defined intervals associated with the department's activities as directed by the Compliance Manager and required by the firm's Management Information.
  • To actively participate and assist with the development of the department's systems and processes and those of the firm as they relate to Compliance.
  • To liaise with Compliance Manager, Managing Partner/COLP, Operations Director and departmental functional representatives for Compliance
  • To liaise with ISO assessment body (LRQA)
  • To set up Management System induction training sessions and deal with associated administration
  • To monitor closure of non-compliances and carry out internal audits as required by the CM and specifically the bi-monthly Technical Review and monthly CDD audits
  • To attend all relevant meetings as required by the Compliance Manager
  • To deal with Compliance and other associated enquiries from staff and external organisations
  • To undertake project work

As a Compliance Assistant you will assist with:

  • Management System maintenance
  • Compliance system maintenance
  • ISO 9001 approval maintenance
  • Document Control
  • Records and Registers administration and maintenance
  • Induction
  • Technical Review
  • Client Complaints
  • Laserform system.

Candidate Specification:

  • Excellent word processing skills and experience of producing and maintaining Excel spreadsheets
  • Good administrative and organisational skills.
  • Ability to plan, prioritise and cope under pressure with a heavy workload
  • Experience of updating and maintenance of systems and procedures
  • Experience of Quality (systems, standards), including basic auditing
  • Graduate calibre ideally in a business related subject.
  • Compliance and/or management systems experience in a professional services environment (e.g. LEXCEL, ISO, or working to a standard).
  • Understanding of the legal profession and its regulatory environment
  • Knowledge/experience of using databases for analysis and report writing
  • Good written and verbal communication skills
  • Accuracy
  • Numeracy
  • Strong interpersonal skills - able to be assertive when needed and to influence others
  • Conscientious and methodical with good attention to detail
  • Self-motivated with an ability to use initiative to solve problems
  • Ability to prioritise work load and to anticipate and meet deadlines
  • Service oriented with an understanding of office procedures and etiquette
  • Confident user of Word and Excel. Ideally have some knowledge of PowerPoint and Databases
  • Must be willing to work outside normal working hours on occasion to assist with departmental activities
  • Must drive and be willing to use own car on firm's business for which a mileage allowance will be paid
  • Proof reading skills and adherence to Management System style as directed by CM

Performance Indicators:

  • Implementation of Compliance plan
  • Achieving specific departmental compliance objectives
  • Internal awareness of the compliance function
  • Continuous improvement in skills and knowledge
  • Accurately maintained records and systems.
  • Good relationships with partners, staff and external organisations.
  • Deadlines met.
  • Work well presented, accurate and error free.
  • Smooth operation of induction process.
  • Good training and meeting organisation with staff supplied with relevant management system and compliance materials and advised of arrangements in a timely manner.
  • Quick and accurate data inputting
  • Uses time effectively to ensure high productivity
  • Excellent client handling skills - face to face and on the telephone
  • Meets/pre-empts deadlines
  • Effective filing systems - keeps track of documents and files which are easy to find when needed
  • Receives no justifiable complaints
  • Achieves/exceeds objectives set
  • Receives compliments/praise from manager/clients
  • Works flexibly to assist others when required
  • Makes good suggestions for improvements
  • Acts as an ambassador for the firm, recommends people to join us, encourages contacts to become new clients

Ref: 1705-14-8171

It is important that you include a covering letter with your CV, detailing why you feel you are suitable for this position and highlighting all relevant experience.

We receive a high number of applications on a daily basis so we can only respond to successful applications. If you do not hear from us within 3 working days please assume your application has not been taken forward on this occasion. We may contact you in the future about other suitable positions.

Our full equal opportunities policy can be viewed here:

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