Job Title: Compliance Assistant (part-time)Location: YorkIndustry Sector: Financial Industry (Independent financial planning advice)Department: ComplianceJob 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 reportsRelevant Experience of working in a financial services firm of at least 2 yearsGenuine interest in pursuing a career in complianceHighly ethicalAppropriate professional examinations are not a requirement but are desirable.Person Specification: Ability to engage with the full range of business functions, particularly in order to carry out the monitoring workAbility to challenge in a constructive wayInvestigative skillsAnalytical and methodical approachSelf-starter and highly motivatedResults-orientedOrganisedNumerateObservant and resourcefulProblem solving abilitiesDetail orientatedReporting to:Compliance Manager
Job Title
Compliance Assistant (Finance)