Compliance Assistant, Policy & Guidance

Job type:
Start date:
3 months+
Stanton House
Published at:
flag_no United Kingdom
Project ID:

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Our client, a wealth management organisation requires a Compliance Assistant to support the activities of the Policy & Guidance team by advising the business on Compliance with all relevant regulations.

Responsibilities include:

  • To assist in the oversight of the compliance of the relevant business areas.
  • To proactively and reactively advise the relevant business areas and to handle queries emanating from them.
  • To assist the production of regular management reports and occasional or ad hoc reports as required.
  • Track RD/General actions from Reports to follow up on progress
  • Build and maintain knowledge on regulatory matters, company policies and procedures as appropriate. Ensure that this specific knowledge is shared/spread across the Division to enable continuous learning amongst colleagues.
  • To sign off of Financial Promotions material and ensure that the Financial Promotions Log is up to date.
  • To contribute to the production of policies and procedures from rules and legislation.
  • To contribute to divisional/group projects as required.
  • Undertake any other ad hoc duties as requested by the Head of Area and/or Head of Compliance division from time to time.

The ideal individual will require the following:

  • Minimum of 2 years experience within Financial Services specifically within Compliance, policy and Procedures.
  • Knowledge of relevant regulations, legislation and processes that will enable you to guide business and team members
  • Technical knowledge regarding the products and services used in investment management and financial planning.
  • Committed to high standards and to working smartly and effectively.
  • Committed to continuous change, with the ability to manage change at the same time as BAU, whether internal or externally driven change.
  • An enthusiastic team member with a 'can do' attitude.
  • Good interpersonal and communications skills, literacy, presentation and report writing skills.
  • A good knowledge of software such as Word, Excel, Powerpoint, Outlook

To find out more information or to be considered for this opportunity, applications will only be considered in the first instance by email. Please send your CV. The selection process will incorporate a formal interview, an assessment of the applicant's competencies, as well as obtaining written references from previous clients/employers.