Compliance Assistant

Summary

Join a fast-growing financial investment company and gain experience in a highly collaborative working environment with top-tier processes and tools. As a Compliance Assistant, you will support the compliance function within the financial advisory firm, ensuring adherence to regulatory requirements, internal policies, and industry best practices.

Requirements

• At least 3-5 years in Financial Compliance company or in a Finance Compliance role
• Strong English Communication Skills: Excellent written and verbal communication skills in English
• Attention to Detail: High level of accuracy in data entry and document preparation
• Organizational Skills: Ability to manage multiple tasks efficiently and prioritize workload effectively
• Technical Proficiency: Proficiency in using office software such as Microsoft Office Suite (Word, Excel, Outlook)
• Analytical Skills: Ability to review and analyse submissions to ensure all required information is present and correct
• Process-Oriented: Ability to follow detailed processes and procedures accurately
• Teamwork and Collaboration: Ability to work effectively as part of a team, collaborating with advisers and the compliance manager
• Time Management: Ability to work within deadlines, managing time effectively to ensure timely processing and submission of documents

Responsibilities

• Processing Business Submissions: Receive and review the 'business submission document' from financial advisers to ensure all required information is provided
• Document Preparation: Draft suitability letters tailored to each client’s circumstances, ensuring that all regulatory requirements are met
• Policy Management: Add and update new advised policies in the back-office software, ensuring that all client records are accurate and up to date
• Compliance Submission: Ensure that all folders contain the necessary information for submission to the compliance department
• Liaison with Compliance Manager: Submit completed application documents and compliance folders to the Senior Compliance Manager for review and approval
• Quality Assurance and Compliance Checks: Conduct initial checks on all documentation to ensure compliance with internal policies and external regulatory requirements before submission to the compliance manager

Benefits

Work From Home