Assistant to Compliance Director
Position: Assistant to Compliance Director
Location: Canterbury, Kent
Salary: £30,000 - £40,000
Due to continued expansion, a prestigious IFA Practice is looking for a compliance assistant to join there team, you will need to be level 4 diploma qualified and be willing to study further
With their duties to regulation, oversight and compliance to FCA rules you will be working with Financial Planners and Para-planners to ensure advice across the firm is compliant and of a high technical standard
Assessing/judging the advice provided by the advisory team
Provide technical support and assistance to the advisory team
Run ad hoc projects and be involved in any aspect of compliance as required such as ensuring the CPD programme is running efficiently.
Create and maintain a Training & Competence Scheme and service standards for Financial Planners and Research Analysts within the company and ensure continued adherence and consistency in advice/reports across the offices.
Create and maintain an internal ad hoc file checking system to ensure compliant client files and consistency across both offices.
Regular documented feedback and training with Research Analysts and Financial Planners with regards file checking and technical issues.
Completion of regular T&C 1-1s with the Financial Planners and maintenance of Risk Assessments of Financial Planners.
Create and maintain a CPD Scheme which meets FCA standards and individual needs and objectives.
Deal effectively and compliantly with client complaints received in line with FCA guidelines and regulations.
Review and maintain compliance and complaints procedures within company to ensure continued compliance with TCF regulations.
To ensure that all meetings, enquiries and subsequent dealings with clients or product providers are conducted in a professional manner and comply with the Company’s procedures.
Provide and track management information and create quarterly compliance reports for senior management with analysis of risks identified.
Work with the Senior Para-planner and Practise Manager to ensure reports are of a consistent standard and meet FCA guidelines and standards of advice;
Minimum Level 4 qualified and the desire to study to level 6
Have the desire to study towards a Compliance qualification
Excellent computer skills including Word and Excel
Excellent verbal and written communication skills