Compliance Assistant - Wealth Part-time

MERJE Ltd; London; On-site; GBP 25,000 - 45,000; Part time

Job summary

An established industry player is seeking a Compliance Assistant to join their team on a part-time basis. This role involves working closely with the Compliance Director to manage compliance and regulatory work, ensuring adherence to money laundering laws, data protection, and fund due diligence. The ideal candidate will have a Diploma Level 4 qualification and experience in compliance within a financial planning environment. This is a fantastic opportunity to contribute to a boutique firm committed to high customer service standards while ensuring regulatory compliance. If you are detail-oriented and dedicated to excellence, this role is perfect for you.

Qualifications

• Experience in compliance within financial planning or IFA environments.
• Diploma Level 4 qualification is essential.

Responsibilities

• Conduct post-sale file checks on investments and insurance products.
• Ensure compliance with GDPR and deliver board reports.

Skills

Compliance experience

Attention to detail

Written communication skills

Oral communication skills

Customer service

Education

Diploma Level 4

Job description

Job Description

MERJE are supporting a boutique independent financial planning firm in their search for a Compliance Assistant on a part-time basis.

Working closely with the Compliance Director, you will cover all aspects of compliance & regulatory work including money laundering, data protection, T&C and fund due diligence.

You will be responsible for:

• Undertaking post-sale file checks on investments, pensions and insurance products, providing reports and ensuring remedial work is completed within company guidelines.
• Data reporting and record keeping aiding the delivery of the T&C oversight programme.
• Ensuring delivery of GDPR requirements on client database in line with company procedure.
• Undertaking annual Sanctions Checks.
• Producing reports to aid the delivery of board reports including the AML/Fraud Report and Consumer Duty Report, and FCA returns such as on Complaints.
• Aiding with the regular reviews of compliance documentation, and implementation of new regulations.
• Undertaking any ad-hoc administrative or research tasks requested by the Compliance Director.

Key attributes:

• Compliance experience gained in a financial planning or IFA environment.
• Qualified to Diploma Level 4 (minimum) is essential.
• Attention to detail.
• Good written and oral communication skills.
• Committed to providing high levels of customer service.

Applicants must be located and eligible to work in the UK without sponsorship.

Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.

If you would like this job advertisement in an alternative format, please contact MERJE directly.