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Compliance Monitoring Assistant

IDEX Consulting Ltd
Job LocationAberdeen
EducationNot Mentioned
Salary£25,000 - £30,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time or part-time

Job Description

To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions.Responsibilities:

  • Maintain compliance monitoring plan for group of companies
  • Assist Head of Compliance with administration, recording and gathering of MI
  • Preparation of MI and KPI on a quarterly basis
  • Data input for Reg Data reports
  • Data input for FCA Connect applications
  • Data input for FCA Data Return requests
  • Data collation, recording, and presentation for records management purposes
  • Complaint handling and recording
  • Breach handling and recording
  • Maintain company compliance registers
  • Assisting in the development and upkeep of policies and procedures
  • Provide support and assistance to any ad hoc compliance projects as appropriate
  • Escalate any issues, risks, or concerns to the Head of Compliance as appropriate
  • Assist Head of Compliance with annual Certification process under SMCR
  • Minutes taking
Skills:
  • Experience working in a financial services environment preferably working within IFA Administration
  • Strong written communication skills
  • Understanding of UK financial services regulation
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEXConsulting website and view our Privacy Policy.Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurableeffort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

Keyskills :
Compliance Assistant Compliance Officer Compliance Manager FCA compliance Regulatory Controller

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