Admin Assistant, Financial Services

at  GF HR Consulting

KEY REQUIREMENTS:

To be successful in this role, the ideal candidate will:

The Compliance Assistant will assist the Head of Compliance with the running of the Department while ensuring that all aspects of the business are compliant, specific responsibilities will include:

• Creating the Annual Review Suitability Reports for the Advisory Team ensuring all data from the client meeting has been accurately recorded.
• Ensuring that these Suitability Reports meet all regulatory requirements and the standards required to achieve a suitable grade by the Business Assurance Team, therefore contributing to the Company’s Quality of Documentation score.
• Liaising with members of the Team and Business Assurance Team where necessary regarding any queries.
• Together with the Head of Compliance, ensuring the Advisers and the rest of the wider Team are kept abreast of all regulatory changes that may affect them.
• Ensuring data entry and document filing adhere to the company procedures, taking responsibility for ensuring that rigor is maintained so that all client and company data is accurate and easy to identify and retrieve.
• Working closely with and assisting with other departments as and when required.
• Ad-hoc project work as required