£37,000 + Benefits
over 2 years ago
The role will initially involve assisting the Compliance Officer in ensuring the business continues to meet its regulatory responsibilities. The intention is for there to be a career progression path to Compliance Officer and CF10 responsibility for the firm.
The role will involve:
- Undertake tasks relating to the monitoring of client reviews;
- Undertake internal audit tasks in line with the Compliance Monitoring Programme;
- Undertake tasks relating to IT compliance, including monitoring Disaster Recovery processes and the take on of new systems and software;
- Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks;
- Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management;
- Assist with the update and maintenance of Compliance procedures;
- Assist with general compliance queries;
- Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business;
- Assist with and lead compliance projects;
- Educated to degree level as a minimum
- industry relevant qualifications but this is not compulsory as appropriate exam training can be offered
- Desirable qualifications are the IOC – Investment Operations Certificate, Diploma in Investment Compliance and the IMC. Other industry relevant qualifications will be considered.