Job description
Our client is looking for a Compliance Assistant to step up into an Associate role to advise Clients on a wide range of regulatory compliance matters in Wealth management Clients.
Areas of Conduct and Control to clients involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and Private Banks is highly preferred
Educated to degree level Ideally you will be
- Diploma level compliance-related qualification, or willing to study towards
- Demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
- Good understanding of FCA rules and regulations
- Some knowledge and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
- Excellent Microsoft Office skills
- Ability to prioritise multiple projects and engagements while meeting tight deadlines
- Confident networking and/or delivering presentations
Key responsibilities Include
- Drafting and maintaining regulatory policies, procedures and compliance monitoring programmes
- Developing training materials and assisting in delivering training sessions
- Assisting with regulatory matters including authorisation applications and variations of permission
- Carrying out compliance health checks and periodic monitoring
- Responding to ad-hoc and routine regulatory queries
- Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
- At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client
- Arrange and help prepare for client meetings
- Foster a professional relationship with clients and contacts, ensuring regular and open communication
- Assist the team with marketing and business development activities
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