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Compliance Assistant -London- Wealth Manager
A Wealth Manager inLondonis seeking a junior compliance professional to assist the Compliance Manager and Director with project work and provide support to the advisory team across the business.
- To undertake monitoring activity such as new clients/business and thematic reviews, as necessary
- To assist with the development and completion of the annual Compliance Plan
- Where appropriate, to assist in various thematic reviews within the firm and/or analysis of specific business transactions
- To assist in the update and review of internal policies, procedures and registers and undertake any appropriate analysis
- To assist in maintaining registers including Incident Reporting Register, Risk Register, Execution Only transaction and UCIS transactions
- To assist in the approval of Financial Promotions and Complaints Handling
- To assist with the ongoing review of the adequacy and effectiveness of existing systems and processes and procedures to ensure that they remain effective.
- To review the effectiveness of Management Information (MI) and assist in any trend analysis
- To assist the business with FSA related compliance queries
- To assist the Director responsible for Compliance and the Compliance Manager with ad hoc tasks as required.
- 1 to 2 years financial services experience ideally within Wealth Management
- Minimum FPC or Certificate in Financial Planning
- Diploma in Financial Planning preferable
- Good understanding of FSA Rules and Principles and/or willingness to learn
- Knowledge of AML regulations and JMLSG guidance
- Ability to understand legislation and apply to different scenarios
This is a great opportunity for a junior compliance professional to join a successful wealth manager. Applications are open now so please send your CV highlighting relevant experience to Ryan Graham at r.grahamatrealstaffing.com or get in touch on 0207 398 3600 for more details.
To find out more about Real, please visit us on www.realstaffing.co.uk