Job Title: Compliance Assistant/ File Checker
Industry: Financial services
Location: Plymouth – Home Based
We are working with a financial planning firm who provide provide guidance individuals and businesses alike. A completely independent firm who are looking to take on a compliance assistant,. Your main responsibility will be to review client files. However other duties will include:
- Provide technical support to the Advisers in relation to the correct documentation for all case type
- Advise internal teams of any issues raised from file checking to enable feedback to the Partner
- To act as a point of contact for enquiries including providing technical support to other employees
- Deliver projects as required
- Attend regular meetings where necessary to ensure a consistent approach on all areas of Support reviewing and discuss areas where improvements/changes can be made
- Ensure that acceptable and consistent level of service standards are maintained
- To assist with training of new members of team where necessary
- Continue Professional Development by way of external exams, internal training, home study
- Being responsible for ensuring the output of work is in line with our values and principles of treating our clients fairly (being both our internal (Partner) clients and external clients). Escalating any cases which you do not believe to be in line with the company’s values.
What’s in it for you:
- Home based working
- Continued support with qualifications
- Career development
Skills and experience required:
To be a successful applicant you will hold the level 4 diploma or have a strong compliance background in financial services. The Key skills needed for this role; you will have a methodical and organised approach, have the ability to prioritise workloads, have the ability to work under pressure and meet deadlines and work independently and as part of a team. Due to the busy working environment you will need to be able to respond and adapt to changes in procedures as and when necessary.
Recruiters contact info:
Name: Louise Bibb
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