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Salary£24000 - £26000 per annum
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LocationBury St Edmunds
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TermPerm
Compliance Assistant

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.

 

Key Responsibilities:

  • 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
 

Key Skills:

  • 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.
 

 

 
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Jade Halil

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