Compliance Assistant

Earl Shilton Building Society
Leicester, UK
15 Aug 2019
22 Aug 2019
Contract Type
Full Time
We are currently seeking to recruit a part time Compliance Assistant (21 hours per week) to join our busy compliance team at our head office in Earl Shilton. You will be required to assist the Regulation and Compliance Manager (RCM) in ensuring that the Society meets with all compliance and regulatory requirements and internal policies and procedures.

The role requires a proactive individual who is conscientious and highly organised with the ability to work under pressure to deadlines and complete work to a high standard.


·To monitor adherence to the Society's controls of savings accounts and mortgages with regard to regulatory requirementsand treating customers fairly

·To report monitoring results to the RCM in the required format and within the required timescales

·Preparing customer and account information relating to money laundering and fraud systems and controls and investigations

·Assisting the RCM in reviewing and developing compliance programmes in respect of regulatory requirements and codes of practice

·Filing documentation and updating registers

·To produce adhoc reports as requested

·Carrying out other relevant tasks as instructed by the RCM from time to time

·To observe and comply with the Individual Conduct Rules contained in the FCA Handbook Code of Conduct (COCON).

PERSON SPECIFICATION (Essential - E, Desired - D)

  • GCSE Maths and English Grade A-C or equivalent (E)
  • Experience of working in a financial services or regulated environment (E)
  • CeMAP or compliance related qualification (D)

Knowledge, skills and behaviours
  • Have strong communication skills (both written and verbal). (E)
  • Excellent attention to detail with a passion for producing quality work (E)
  • Flexible, positive, hardworking and reliable (E)
  • Understand and adhere to all relevant policies, procedures and compliance requirements (E)
  • Numerate and PC literate (E)
  • Proficient with Microsoft excel (D)
  • Organised with the ability to prioritise tasks and to work effectively under pressure to meet deadlines (E)
  • Understanding of the financial services regulatory environment (D)

Closing Date: 13th September 2019

No agencies please

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