Compliance Assistant, Liverpool. Up to £35,000 plus excellent benefits, discretionary bonuses, training and career development
Synchronicity Group are currently recruiting for an international financial services group looking to add to their monitoring team. This team ensures first line functions are operating as they should and they are looking for someone who has experience working in a similar risk based monitoring role within a Financial Services Organisation.
You'll be working for a fantastic business within a great compliance team that is highly professional, driven and friendly. They are offering a competitive salary plus excellent benefits, with training and a superb opportunity to develop your career.
- Assisting with the completion of the Regulatory Risk Assessment Monitoring Programme.
- Carrying out weekly, monthly, quarterly and annual report monitoring.
- Monitoring for this role will include, but is not limited to: Transaction Reporting; CASS; KYC and Suitability; Costs and Charges;
- Undertaking various monitoring tasks in line with the Risk Assessment Monitoring Programme.
- Logging of any monitoring reviews and breaches.
- Completion of regulatory risk assessments in relation to regulatory changes, rules and guidance factoring in business risks and controls.
- Handling client complaints in accordance with FCA requirements.
- Assist with Themed Reviews as and when required.
- Collate Management Information for various Committees, Branches and the Board.
- Identification and impact assessment of regulatory change.
My client is looking for:
- A strong team player.
- Previous Monitoring or Quality Assurance experience within an Investment Management capacity.
- A good understanding and working knowledge of the FCA requirements.
- A keen eye for detail and highly organised.
- A collaborative approach with a strong client focus.
- Strong communication skills, able to challenge accordingly and when necessary.
- A talent for technical analysis and problem solving.
For further details on this and many other great opportunities within Compliance, please get in touch for a confidential discussion.