Description
A leading IFA based in the City of London, has a new requirement for a Compliance Assistant to join their team in the City. This firm seeks to bring on a professional with a strong foundation fo compliance experience that would enjoy working in a SME firm and progress their career rapidly.Responsibilities will include:
To assist the Compliance Manager and the Director responsible for Compliance
with any project work and provide assistance and support to the advisory teams
within the business.
To assist with the development and completion of the annual Compliance
Plan
· To undertake monitoring activity such as new clients/business and thematic
reviews, as necessary
· Where appropriate, to assist in various thematic reviews within the firm
and/or analysis of specific business transactions
· To assist in the update and review of internal policies, procedures and
registers and undertake any appropriate analysis
· To assist in maintaining registers including Incident Reporting Register, Risk
Register, Execution Only transaction and UCIS transactions
· To assist in the approval of Financial Promotions and Complaints Handling
· To assist with the ongoing review of the adequacy and effectiveness of
existing systems and processes and procedures to ensure that they remain
effective.
· To review the effectiveness of Management Information (MI) and assist in
any trend analysis
· To assist the business with FSA related compliance queries
Key Skills required:
· 1-3 years Compliance experience, ideally in a IFA/Wealth Manager/Stockbroker firm
Diploma in Financial Planning preferable
· Good understanding of FSA Rules and Principles and/or willingness to learn
· Knowledge of AML regulations and JMLSG guidance
· Ability to understand legislation and apply to different scenarios
· Excellent accuracy and analytical skills
Location: City of London
Salary: £30 - £40k
If you would relish the opportunity to work in a small but reputed IFA and rapidly develop your compliance career; please send your CV to me for consideration.
To find out more about Real, please visit us on www.realstaffing.co.uk