Compliance Assistant Manager

Recruiter
Reed
Location
Bournemouth
Posted
18 Apr 2019
Closes
28 Apr 2019
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Financial Planing business based in the Whiteley area are recruiting for a Compliance Assistant Manager to join the team and assist in ensuring the business establishes, monitors and continually improves upon the necessary controls to contain regulatory risk.

Ideal candidates will have a background within policy implementation including file reviewing, feedback and T&C monitoring. Holding the CII Diploma in Financial Planning would be preferred, compliance qualifications favourable and any experience within DB Pension transfers would be advantageous.

Duties

Monitor and record the documentation requirements of the Advisory and Investment Management T & C Schemes.

To prepare compliance KPIs

To act as the initial point of contact for the Compliance Team

Prepare and report all compliance KPIs and the Compliance Dashboard for incorporation into the quarterly compliance report

Responsibility to ensure that the business and compliance risks which affect the key accountabilities are documented

Risk assess the relevant regulated business activities and determine the appropriate methodology for the Compliance Monitoring Reviews

Skills

Up to date knowledge of regulatory & legislative requirements

Previous compliance advisory experience

Excellent interpersonal skills

Leadership experience/ strong driver

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