Job Details

Compliance Assistant

Sector:Financial Services

Region : Greater London

Location: N3 1QB

Salary: Salary negotiable DOE

Job Ref.: CL2610v

Job Information

Compliance Assistant Role

Compliance assistant required for large expanding IFA and Wealth Management Practice.
Primarily based in North London (although some travelling to other locations may be required), the main responsibilities will include:
§ Broad base of compliance knowledge
§ Understanding/knowledge of the FCA COBS/SYSC rules
§ An understanding of other relevant legislation, including that related to financial crime
§ Ability to communicate effectively with senior management, financial advisers and support staff
§ File/case reviews
§ Ensure all staff adhere to the firm’s procedures

What we are looking for:
§ Good organisational skills
§ A proactive approach to workload and deadlines
§ Team player
§ Goal and results-orientated
§ Fluent English
§ Excellent communication skills
§ Numerate and analytical
§ Good attention to detail

Ideally, the candidate will have the following qualifications and experience:
§ Experience in the financial services industry
§ Knowledge of Microsoft Office
§ Diploma in Regulated Financial Planning (or equivalent) or working towards