Compliance Assistant - Supporting Head of Compliance

Henley-On-Thames, UK
19 Sep 2019
02 Oct 2019
Contract Type
Full Time
My client a Leading Financial Planning Company is actively looking to recruit a skilled Compliance Assistant to work alongside their Head of Compliance in their office in the Henley area. From a Financial services Compliance background, you will offer strong support to the team.

Main Purpose of the Role:

• Assist the Head of Compliance in providing an effective systems and controls framework across the

Organisation, to ensure compliance with all regulatory regimes under which the Business operates

• The focus is primarily on FCA compliance but also encompasses compliance with other regulation such

the Data Protection Act and Proceeds of Crime Act

• Assist the Head of Compliance in safeguarding the Company's permitted activities, by way of undertaking

monitoring reviews to demonstrate compliance

Duties and Responsibilities:

• To undertake tasks relating to the implementation of the objectives set out in the Compliance policies

and Compliance Monitoring Programme

• To assist the Head of Compliance in ensuring that the Company establishes and maintains, at all times,

effective systems or internal controls in order to manage and minimise the risk of losses to clients or to

the Business from errors, irregularities or fraud

• Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal

controls, so that prompt remedial action may be taken by Senior Management

• To assist in monitoring proposed changes in legislation with particular relevance to compliance of all

regulatory regimes

• To assist the Head of Compliance in identifying, investigating and rectifying rule breaches, and fulfill any

associated reporting requirements

• Assist in providing advice and coaching to employees to enable them to deliver process improvements,

which are fully compliant with relevant regulatory requirements

• To assist in coordinating the handling of client complaints

• To assist in the creation, implementation and development of internal systems, in order to meet

regulatory obligations, and to improve and maintain efficient working practices within the organisation

Business Development:

• Assist with updating of Document Register and Procedures and ensure that they remain up to date

• To make recommendations as to how the Firm's systems and procedures might be improved

• Promote the brand

• Promote the core values so that they are live throughout the Team

To be considered you must have a strong Financial Services background with Wealth Planning and preferably Compliance.

Similar jobs

Similar jobs