Our client, a leading provider of investment services to varied clients is seeking a compliance analyst to provide analytical assistance to the compliance team to provide services to private & corporate clients within the group.
The role is responsible for providing an effective and efficient analytical service to the Compliance team, whilst participating in achieving team objectives.
Core responsibilities will include but not be limited to:
- Complaints, Errors & Omissions
- T&C & Administration
- Ad Hoc Projects
- Ensure maintenance of competence by constantly reviewing own training needs and, in conjunction with the Head of Compliance, addressing those needs in an appropriate and timely manner.
- To support and provide assistance to other members of the Compliance team.
- To report any compliance failures/breaches to the Head of Compliance.
- To ensure that all invoices and cheque requests are passed to the Head of Compliance promptly.
- To ensure expenses are not incurred over and above the staff norms.
- Adherence to the Data Protection and Information Security policies at all times.
- To comply with gifts and entertainment policy.
Qualifications & Requirements:
- Previous financial services experience obtained within an IFA and/or corporate pensions or corporate healthcare and risk environment.
- Working towards the Certificate in Financial Planning or equivalent, with committed intention to actively study to achieve the CII Diploma level (QCF 4) or equivalent.
- High standard, competency and knowledge of IT systems and software (Microsoft Office software, specifically Outlook, Excel and Word).
- Proven communication, analytical and interpretation skills.
- Ability to communicate well, face to face, over the phone and in writing.
- Report writing skills.
WE REGRET THAT DUE TO THE HIGH VOLUME OF APPLICANTS, ONLY SHORTLISTED CANDIDATES CAN BE CONTACTED.