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Compliance Assistant

Page Personnel Finance
Job LocationLondon
EducationNot Mentioned
Salary£30,000 - £42,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

  • To provide first class support to the Compliance Officer
  • To represent the firm professionally, uphold its values in all internal and external dealings and promote the firm generally
    • Client DetailsThe client provides independent, professional advice and service around thier clients personal financial situation. This level of service is provided within an independent partnership structure, which can focus solely on the needs of clients.Description
  • Assist the compliance officer in exercising oversight responsibility for the firms compliance monitoring programme.
  • Report on compliance matters to the compliance officer, and assist the compliance officer in reporting on such matters to the Compliance Committee, the Senior Partner and the Policy Board, as appropriate.
  • Assist the compliance officer in ensuring co-ordination with other areas of the business including finance and human resources, for example, to ensure effective implementation of the compliance monitoring programme.
  • Assist the compliance office in ensuring an understanding by outside audiences of the firms commitment to compliance and integrity.
  • Assist the compliance officer in ensuring that appropriate standards, practices, and internal controls, including a Code of Conduct, are adopted, published and explained to those affected.
  • Assist the compliance officer in ensuring that an effective system exists for communicating regulatory standards, requirements and guidance in all risk areas, including training and other communications media.
  • Assist the compliance officer in ensuring that each compliance risk area is identified and assessed periodically and appropriately addressed through the compliance monitoring programme.
  • Participate, as appropriate, in committees and groups, to represent and advise on regulatory matters, as appropriate.
  • Act as an advocate and champion of the compliance monitoring programme among all employees, consultants and third parties to whom tasks are outsourced and provide advice on compliance matters.
  • Assist the compliance officer in ensuring that there is a system and procedures in place to prevent delegation of substantial discretionary authority to anyone who has engaged in illegal activities or other conduct inconsistent with the firms Code of Conduct, through review of the promotion and recruiting systems for employees and other third parties (including consultants).
  • Assist the compliance officer in ensuring that there is a system in place for appropriate monitoring, auditing, and other measurements of: the compliance monitoring programmes effectiveness; and the firms compliance with legislation and ethical standards.
  • Assist the compliance officer in ensuring that there is an effective system in place for employees to raise questions and obtain advice regarding compliance, and to report misconduct without fear of retaliation, and with appropriate follow-up.
  • Assist the compliance officer in ensuring that there is an effective and consistent system of discipline to address misconduct, and an appraisal and incentive system that promotes legal and ethical conduct.
  • Assist the compliance officer in ensuring that all findings of misconduct and of weaknesses in the firms systems and controls are responded to promptly and effectively.
  • Work diligently in monitoring current trends and developments within financial services and in the firm to identify emerging new risks.
  • Assist the compliance officer in ensuring that appropriate records of the compliance monitoring programme are generated and maintained.
  • Keep current with compliance best practices and, along with the compliance officer, represent the company in external compliance and ethics forums.
  • Execute such other functions related to the compliance function as are delegated by the compliance officer.
    • Profile
  • Great communication skills (oral and written) at all levels
  • 2 to 3 years experience within a financial services compliance function
  • Proactive and flexible approach with drive and determination
  • Ability to work under pressure, to changing demands and to tight timescales
  • Able to work under own initiative with enquiring mindset
  • Highly organised with good problem solving and analytical skills
  • Business and commercial awareness including strong client focus
  • Professional approach and appearance with strong attention to detail
  • Technical competence in Microsoft applications with accurate keyboard skills
    • Job OfferCompetitive salaryCompany benefits package Required skills
  • Compliance Assistant / Independent Financial Advisory / Compliance Generalist

    • Keyskills :
    Compliance Assistant / Independent Financial Advisy / Compliance Generalist

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