Compliance Assistant - Wealth (Part-time)

MERJE are supporting a boutique independent financial planning firm in their search for a Compliance Assistant on a part-time basis.

Working closely with the Compliance Director, you will cover all aspects of compliance & regulatory work including money laundering, data protection, T&C and fund due diligence.

You will be responsible for:

• Undertaking post sale file checks on investments, pensions and insurance products, providing reports and ensuring remedial work is completed within company guidelines.
• Data reporting and record keeping aiding the delivery of the T&C oversight programme.
• Ensuring delivery of GDPR requirements on client database in line with company procedure.
• Undertake annual Sanctions Checks.
• Produce reports to aid the delivery of board reports including the AML/Fraud Report and Consumer Duty Report, and FCA returns such as on Complaints.
• To aid with the regular reviews of compliance documentation, and implementation of new regulations.
• To undertake any ad hoc administrative or research tasks requested by the Compliance Director.

Key attributes:

• Compliance experience gained in a financial planning or IFA environment.
• Qualified to Diploma Level 4 (minimum) is essential.
• Good written and oral communication skills.
• Committed to providing high levels of customer service.

Seniority level

Associate

Employment type

Part-time

Job function

Finance

Industries

Financial Services, Investment Advice, and Investment Management