We are delighted to be working with a highly regarded and successful wealth management business in the heart of Witney who are recruiting for a Compliance Assistant to join their growing team.
Reporting to the Head of Compliance you will be responsible for providing effective systems and controls framework across the organisation.
Key responsibilities include:
· 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 fulfil 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.
We are ideally seeking an individual who has experience within the Financial Services industry and has the willingness to undertake further study.
The ideal application will have first class communication skills coupled with the ability to work under pressure and prioritise a busy workload.
Our client offers a generous package , coupled with excellent benefits and a sociable working environment. With this is mind, we are looking for a personable, communicative, and enthusiastic individual who is passionate and seeking long-term career.
For more information and to apply, get in touch with our Witney branch or click 'Apply Now' to submit your application.
We wish you the best of luck in your job search!
If you would like to know how we will store and process your data, please read our GDPR Data Protection Statement on The Recruitment Group website.