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Compliance Assistant

Remotestar

Cambourne

On-site

GBP 40,000 - 60,000

Part time

30+ days ago

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An established industry player is seeking a part-time Compliance Assistant to join their compliance team. This role involves supporting the Compliance Manager with ongoing compliance monitoring, reviewing client files, conducting AML reviews, and preparing regulatory reports. The ideal candidate will have a genuine interest in compliance and at least two years of experience in the financial services sector. This position offers a unique opportunity to engage with various business functions while contributing to the integrity of the compliance process. If you're a self-starter with strong analytical skills and a detail-oriented mindset, this could be the perfect role for you.

2+ years of experience in a financial services firm required.
Genuine interest in pursuing a career in compliance is essential.

Support the Compliance Manager with ongoing compliance monitoring.
Review client files and conduct AML reviews.

Compliance Monitoring

Analytical Skills

Problem Solving

Investigative Skills

Organizational Skills

Experience in Financial Services

Professional Examinations (desirable)

Job Title: Compliance Assistant (part time)

Location: York

Industry Sector: Financial Industry (Independent financial planning advice)

Department: Compliance

Job Specification – Main purpose/aim of the job:

To work alongside the Compliance manager to support and assist with most aspects of ongoing compliance monitoring, in the York office, including the following tasks:

To provide a business friendly and approachable compliance service to management, staff and external parties.
Review and monitoring of client files to assess client ‘Suitability’;
Carry out ongoing AML reviews;
Produce and maintain regulatory MI reports;
Assisting with the identification, resolution and recording of any errors and regulatory breaches;
Assisting with the investigation, resolution and recording of client complaints;
Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications;
Assisting with the submission of FCA returns;
Helping to review and approve financial promotions as and when required;
Helping to monitor the training and competence (T&C) for certified individuals (Financial Planners);
Review and update in-house Compliance policies and procedures;
Review and update client literature;
Liaise with the Compliance Manager regarding risk, regulatory changes and any other ongoing issues.

Experience & Other Requirements:

Demonstrate a desire or aptitude to work in compliance:

Compliance-related work placements and understanding of suitability reports
Relevant Experience of working in a financial services firm of at least 2 years

Genuine interest in pursuing a career in compliance
Highly ethical
Appropriate professional examinations are not a requirement but desirable

Person Specification:

Ability to engage with the full range of business functions particularly in order to carry out the monitoring work
Ability to challenge in a constructive way
Investigative skills
Analytical and methodical approach
Self-starter and highly motivated
Results oriented
Organised
Numerate
Observant and resourceful
Problem solving abilities
Detail orientated

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