Compliance Assistant Manager

Office Angels
12 Apr 2019
10 May 2019
Contract Type
Full Time
JOB TYPE: Permanent

JOB TITLE: Compliance Assistant Manager

LOCATION: Bournemouth


HOURS: 8:30am to 5:30pm

We are currently recruiting an exciting new Compliance Assistant Manager role.

Are you looking to work in a fast moving, dynamic team?

Do you have knowledge of regulatory principles?

Do you have experience in compliance monitoring experience?

Then this could be the role for you...


* To assist the Compliance Manager in ensuring that the appropriate regulatory risk management strategies are in place;

* In consultation with the Compliance Manager, risk assess the relevant regulated business activities and determine the appropriate methodology for the Compliance Monitoring Reviews;

* To document and record Compliance Monitoring findings and agree findings/outcomes with the relevant stakeholders;

* Ensure that activities specified in the Compliance Diary are delivered to plan, escalating any delays to the Compliance Manager in timely manner;

* Monitor and record the documentation requirements of the Advisory and Investment Management Schemes;

* To prepare and report all compliance KPIs and the Compliance Dashboard for incorporation into the quarterly compliance report and Group board meeting packs;

* To prepare compliance KPIs in relation to regulated advice and sales activity;

* To assist the Compliance Team in identifying and analysing KPI trends to ensure that all regulatory risks are adequately managed;

* Record and update all regulatory and data breaches, risks and issues, escalating them to the Compliance Manager as appropriate;

* To assist the Compliance Team in the completion of regulatory applications, authorisations and the coordination of relevant regulatory returns;

* To act as the initial point of contact for the Compliance Team for all professional brokers and providers relationships;

By registering with Office Angels, you will benefit from the support of a dedicated and experienced recruitment consultant, have access to various interviewing techniques, regular updates of the local employment market and consistent feedback on all applications. This service is offered right through to the day you start your new role and beyond.

Please be aware that we are currently receiving a high volume of applications and will endeavour to contact all applicants, however if you have not been contacted within 72hrs please assume that you have not been successful on this occasion and your CV will be kept on record for future positions

Office Angels acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Office Angels UK is an Equal Opportunities Employer.

By applying for this role your details will be submitted to Office Angels. Our Candidate Privacy Information Statement explains how we will use your information – please copy and paste the following link in to your browser: https://(url removed)/candidate-privacy

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