Compliance Assistant

at  GF HR Consulting

Job Advert
Are you a strong Administrator with a Financial Services background looking for a new local role? Our client is a growing Wealth Management business based in a beautiful setting in the Kent countryside. They have an exciting opportunity for someone to join their Compliance team in a newly created busy role within the business.
About Seventy Seven Wealth Management
SeventySeven Wealth Management Ltd has been a progressive and continually evolving group for over 30 years. They pride themselves on the service they deliver to clients, where excellence is key. Their core values are integrity, honesty, efficiency, reliability, commitment, dependability, respect and loyalty. These values sit at the foundation of everything they do and in what they will look for in any future team member. The team at SeventySeven Wealth Management Ltd work together with their chosen partner St. James’s Place to provide exceptional outcomes for their clients.
The opportunity

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 SeventySeven 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 SeventySeven Team and Business Assurance Team where necessary regarding any queries.
• Together with the Head of Compliance, ensuring the Advisers and the rest of the SeventySeven Team are kept abreast of all regulatory changes that may affect them.
• Ensure data entry and document filing adhere to the SeventySeven procedures, taking responsibility for ensuring that rigor is maintained so that all client and SeventySeven 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.

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

Essential:

• Have excellent attention to detail and an analytical approach.
• Possess good numeracy and literacy skills.
• Be an excellent communicator who is able to work as part of a team.
• Have the ability to work to deadlines and able to manage conflicting priorities. A “can do” and positive attitude.
• Have a strong administrative background and process driven.
• Demonstrate a good working knowledge of Microsoft Word.

Desirable:

• Knowledge of Salesforce and Office365 Sharepoint and OneDrive preferable, although full training will be given.
• Experience of working in financial services.
• Interested in developing a career in financial services.

Benefits
In return you will have the opportunity to work for a fast growing, prestigious company who are based in newly refurbished offices set within beautiful country surroundings. Benefits include, free on-site parking, an Employee/Client referral programme, Pension and Christmas closures wherever possible plus an extra day off for your birthday.
Additional Information
Due to the location of the office your own transport is essential

• Creating the Annual Review Suitability Reports for the SeventySeven 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 SeventySeven Team and Business Assurance Team where necessary regarding any queries.
• Together with the Head of Compliance, ensuring the Advisers and the rest of the SeventySeven Team are kept abreast of all regulatory changes that may affect them.
• Ensure data entry and document filing adhere to the SeventySeven procedures, taking responsibility for ensuring that rigor is maintained so that all client and SeventySeven 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