IRC is delighted to be recruiting for an experienced Compliance Assistant on behalf of our client, an international provider of financial planning who provides financial advice for UK residents and global ex-pats.
Relevant skills and knowledge
An understanding of financial services regulation
Knowledge of the advice process preferable
Financial service qualifications preferable
Good written English
Good knowledge of Excel/PowerPoint/word
Attention to detail
Develop and maintain knowledge of the regulatory environment by keeping up to date with regulatory bulletins/updates.
Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm at all times.
Encourage appropriate ethical standards and a culture compliant with the FCA's TCF objectives.
Maintain accurate, detailed and up to date compliance records for the Compliance department, maintaining strict version control where necessary.
Prepare management information reports.
Arrange superviser meetings such as for 1:1's/training/induction/observations and assist in their preparation
Monitor complaint handling activities to ensure timeframes are not exceeded
Obtain information from a variety of sources to assist with complaint handling/investigations
Liaise with PI insurers and any other 3rd party
Undertake monitoring/auditing activities on a monthly basis.
Monitor adviser SPS and Data Protection registration.
Collate KPI data on a monthly, quarterly and annual basis
Assist with annual Fit and Proper monitoring.
Liaise with colleagues in all departments to ensure good outcomes
Respond to all incoming communications/correspondence
Any other tasks required to ensure efficient running of the compliance department.
In return you will receive an attractive salary and benefits package as well as support in completing further professional qualification.