Compliance jobs in United Kingdom

Our client is looking for an experienced Broker Assistant to assist their financial planners with the administration and processing of unit trust investments. This role will be critical in ensuring that backend operations run efficiently, from managing investments to helping with client documentation and ensuring compliance with legal and regulatory requirements. Ideal candidates will have experience in unit trust investments and be familiar with systems like Ninety One, Marriott, Allan Gray, and Cogence.

Key Responsibilities :

Investment Administration : Assist in the execution, processing, and administration of unit trust investment transactions, ensuring accuracy and compliance with internal procedures.

Client Reporting : Prepare and maintain client reports, transaction records, and investment summaries for financial planners and estate planning teams.

Compliance & Documentation : Ensure all investment and estate planning documentation is completed accurately and in accordance with legal regulations and compliance standards.

Market Monitoring : Monitor market trends and the performance of unit trust investments, providing relevant updates to financial planners and clients.

Client Communication : Liaise with clients regarding their investment portfolios, estate planning matters, and other financial services, offering exceptional customer service.

Backend Administration : Manage and maintain up-to-date client records and ensure smooth, efficient processing of both financial planning and estate planning tasks.

Ad-hoc Tasks : Perform other administrative or operational tasks as required by the financial planning or wills and estates teams.

Key Requirements :

Experience : A minimum of 2 years of experience in a broker assistant or similar financial support role, with a strong understanding of unit trust investments. Experience in wills and estates administration will be advantageous.

Technical Skills : Proficiency in financial platforms such as Ninety One, Marriott, Allan Gray, and Cogence (or similar systems) is preferred.

Qualifications : Completion of RE exams (Regulatory Exams for Representatives) will be highly regarded.

Please send your CV to info@curiska.co.za if you are interested