PERSONALITY

Our client is looking for an individual has experience working within the Independent Financial Planning Industry. Someone who is adaptable, dependable and enthusiastic. You will be supporting Compliance Officer and wider Compliance team, providing an efficient, high quality and compliant service to the business as its stakeholders.

SKILLS AND EXPERIENCE:

• Critical problem-solving
• Ability to analyse and interpret information quickly
• Team working and collaboration
• Ability to use systems and processes
• Prioritisation
• Demonstrate honesty and integrity

• Performing risk assessments to understand risk level, significance and scope
• Keeping up to date with, and understand, relevant laws and regulations
• Monitoring compliance with laws, regulations and internal policies
• Managing voluntary best practice relating to professional standards
• Ensuring that your findings are recorded and followed up with management so that issues can be rectified
• Educating employees on regulations, and the impact on the organisation
• Investigating irregularities and non-compliance issues
• Involvement with various compliance reporting
• Highlighting or escalating areas of concern
• Contributing to robust and effective compliance controls within the organisation
• Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Assisting in the gathering of internal information in response to regulatory requests
• Collaborating with other departments and Central Compliance Team to create a culture of compliance
• Assisting with client meetings
• Attending and assisting with facilitating the risk committee
• Assisting in completion of annual Money Laundering Officer’s Report and Compliance Officer’s Report
• Ensuring all of policies and procedures are up to date and fit for purpose
• Supporting in preparation for annual compliance audit and provide assistance with any actions that arise from the audit
• Assisting with the resolution of any complaints received & undertake route cause analysis