Compliance Assistant - Wealth Management

LMA Recruitment Ltd
30000 - 40000
16 Mar 2017
15 Apr 2017
Contract Type
Full Time
An exciting opportunity is available at an independently owned wealth manager who are looking for a junior Compliance Assistant. You will provide support to the firm's compliance team as well as assisting with the implementation of their compliance policies. Some of the key responsibilities of the role are outlined below although this is not an exhaustive list: - Assisting with the implementation of the firm's compliance strategy - Providing guidance on FCA reviews and notifications - Monitoring breaches and managing the resolution of potential and actual events - Reviewing and signing off of marketing documentation, advertising and newsletters - Assisting with team training as required You will need to have a strong understanding of FCA regulations as well as other relevant legislation. The role has an advisory element to it so previous practice would be beneficial also. Experience in a wealth management firm or financial advisory firm would also be preferable. In return you can expect to receive a starting salary of up to £40,000 depending on experience.