Compliance Assistant - Investment/Wealth Management

Oval Recruit Limited
Chipping Norton
£26k - £30k + Excellent Package
17 Mar 2017
16 Apr 2017
Contract Type
Full Time
Compliance Assistant - Investment/Wealth Management

Leading Independent Wealth & Investment Management Company, Based Chipping Norton, Oxfordshire

£27,000 - £30,000 + Excellent Package

This is an excellent opportunity for individuals looking to embark on a career in Compliance. Working directly for the Head of Compliance, your primary responsibility will be to ensure the firm remains compliant with current legislation as well as plan and implement regulatory change as and when necessary. Your role will include:

- Conduct Compliance Monitoring
- Monitor breaches and manage resolution for both Client and the Business
- Review Marketing documentation
- Monitor updates in legislation and regulatory change
- Review policy and client documentation
- Maintain and update the compliance manual

To be successful in this role, you should have experience in the following:

- At least 1-2 years experience in Wealth Management, Financial Advisory or related Financial Services
- Ideally have worked in a Compliance role or have had exposure to Compliance in your current role.
- Excellent communication skills, both written and verbal

In return, our client offers:

- Basic Salary of up to £30,000
- Package including, 26 Days Holiday, Pension, Training Budget
- Interesting, diverse and expanding operation

For more information, please contact Edward Groves