Compliance Assistant with a Wealth Management company in Berkshire, competitive basic salary with good benefits.
Assist the Head of Compliance in providing an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the Business operates
The focus is primarily on FCA compliance but also encompasses compliance with other regulation such as the Data Protection Act and Proceeds of Crime Act
To undertake tasks relating to the implementation of the objectives set out in the Compliance policies and Compliance Monitoring Programme
To assist the Head of Compliance in ensuring that the Company establishes and maintains, at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the Business from errors, irregularities or fraud
Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
To assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
To assist the Head of Compliance in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements
Assist in providing advice and coaching to employees to enable them to deliver process improvements, which are fully compliant with relevant regulatory requirements
To assist in coordinating the handling of client complaints
To assist in the creation, implementation and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
25 days holiday
4 x death in service
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