Compliance AssistantReference: BH-54360
Up to £26,000pa + Benefits
Bury St Edmunds
Monday- Friday 08:45-5:00pm
Pure are delighted to be supporting a prestigious financial services company in Bury St Edmunds with the recruitment of a Compliance Assistant.
- Working alongside the Compliance Director, the jobholder will be conducting client file reviews in both real time and on past client files.
- Have a good understanding of the firm’s sales process to ensure a high standard of client service is maintained.
- Have a good understanding of the firm’s complaints procedures and how to respond accordingly and within the timescales imposed by our regulator.
- Be able to work as part of a team, but when required to do so, use own initiative and make confident decisions.
- To become responsible for and sign off all client communications (Corporate and Private client)
- To ensure you maintain your knowledge regarding all regulatory matters and be able to discuss these changes with members of staff when required to do so
- Present yourself suitably attired both in the workplace and when visiting a client’s home or business premises
- Ideally the successful applicant will have a good understanding of the FCA rules and regulatory procedures expected from a Financial Services business and more specifically an Independent Financial Adviser (IFA)
- The applicant must be able to demonstrate they are able to pay attention to detail and challenge when the standards required are not being met.
- Be able to work independently and unsupervised at times when senior members of staff are absent due to holidays or when working away from the office.
- Willingness to work hard and have a ‘can do’ attitude
- Be self-motivated and be able to see a task through to completion.
- Have a full clean driving licence and willing to travel to other offices or to client’s homes/offices as and when required.