Compliance Assistant

  • 25,000 dependent on experience
  • Lamberhurst, Tunbridge Wells, Kent
  • Gf Hr Consulting Ltd

I am recruiting for a Compliance Assistant on behalf of my client, a well established and growing Wealth Management practice based just outside Lamberhurst village.

SeventySeven Wealth Management Ltd is a Senior Partner Practice of St James Place. They pride themselves on the service they deliver to clients, where excellence is key. Their core values are integrity, honesty, efficiency, reliability, commitment, dependability, respect and loyalty. These values sit at the foundation of everything they do and in what they will look for in any future team member.

In your role will be responsible for supporting the Head of Compliance to deliver quality documentation to our growing team of Advisors.

Your key duties will involve:

• Updating processes as required in order to ensure that client transactions run as smoothly and efficiently as possible.

• Consistently creating quality Suitability Letters within company deadlines

• Liaising with Business Assurance regarding pre and post approval cases

• Carrying out technical research & analysis e.g. product cost comparisons

• Handling technical client queries e.g. client phone calls and/or correspondence

• Possessing high level awareness of FCA and internal compliance procedures

• Communicating with providers e.g. for ceding scheme & technical information

• Providing performance charting on request

• Preparing client files for meetings

• Assisting with & following up on Letters of Authority, business submission processes on iBusiness and withdrawals

• Have a high-level awareness of FCA and internal compliance procedures and to update all members within the business of these procedures including regulatory changes and information.

• Working closely with and assisting with other departments as and when required.

To succeed in this role you will have experience of working within financial services..

• Knowledge of Microsoft office – Word, Excel, Powerpoint, Outlook

• Excellent written and verbal communication skills, along with good numeracy and literacy skills.

• Confident and professional manner, both face to face and on the phone (brand training will be given)

• Excellent Attention to detail and an analytical approach

• You will be required to work to regulatory and organisational deadlines and manage conflicting priorities.

• A positive attitude with a strong desire to develop and learn

• Ability to work on your own innitiative.

• Operate with strictest confidence.

Knowledge of Office 365 Sharepoint/OneDrive would be desirable.

This is an excellent opportunity for someone looking to expand their career in financial services, by working within a small and friendly team.

In return you will have the opportunity to work for a fast growing, prestigious company who are based in newly refurbished offices set within beautiful country surroundings. Benefits include, free on site parking, private medical after 1 years service, PerkBox benefits, an Employee/Client referral programme, Pension and bonus scheme, plus an extra day off for your birthday (after 1 year).

Due to the location of our office your own transport is essential.

Role: Full time

Salary: £25,000 dependent on experience

Apply to: [email protected]

  • Advertiser: Direct Employer