Location

Leicester

Date Posted

13/09/2022

Employment Type

12-month fixed term contact

Salary

£21,000 – £25,000

Job Ref

AD-CA

 

Compliance Assistant

Leicester (hybrid working on completion of probation)

£21,000 – 25,000 (depending on experience)

 

Four Squared Recruitment are currently working alongside a Leicester based Financial Services organisation to recruit for a Compliance Assistant on a 12-month fixed term contract.

 

The overall purpose of the role is to provide a quality service to the Business under the training and guidance of the Compliance Manage, support and assist the Compliance Manager to meet the regulatory requirements in respect of compliance monitoring controls for the Business and maintain records that meet the requirements of the firm and the regulator.

 

Main tasks:

 

To ensure that the company comply with the FCA regulations, with legislation relating to the prevention of money laundering, financial crime, and fraud.  This will be in the following areas:

 

  • Client money
  • Complaints
  • Data protection
  • Financial reports and resources, e.g. Reg Data,
  • Professional indemnity insurance
  • Training and Competence
  • Senior Managers and Certification Regime
  • Consumer Duty

 

Maintain analyse and report data from a range of compliance registers:

 

  • Data required to support the investigation of complaints.
  • Continuous Professional development records (CPD)
  • Financial Conduct Authority reporting requirements.
  • File checks recording.
  • Daily Client Money Reconciliation
  • As and when required provide cover for logging meeting notes. This may include the production of monthly, quarterly, and annual statistics on MN standards.

 

The successful candidate will have the following:

Key knowledge, skills and experience required

  • Educated to A-Level standard (or equivalent)
  • Organisation skills
  • Good attention to detail
  • Computer and Microsoft Office literate – Word, Excel, and Outlook
  • Ability to communicate effectively written and verbal.
  • Ability to create and maintain accurate paper and computer-based records

Responsibilities

  • To provide a quality compliance related administrative service to the Business.
  • To support and assist the Compliance Manager in meeting the regulatory requirements in respect of compliance monitoring controls for the Business.
  • To maintain records that meet the requirements of the Business and the regulator.

Benefits

  • 24 days holiday plus statutory holidays increasing with service
  • Hybrid working arrangements available following probationary period.
  • Pension scheme
  • 2 x salary life assurance
  • Discretionary bonuses
  • Health Shield Cash Plan
  • Free parking

For more information please contact Alice Dale on 01905 783352 or email [email protected]

A company from Ballards LLP Chartered Accountants

four squared recruitment
Oakmoore Court
Kingswood Road
Hampton Lovett
Droitwich
Worcs
WR9 0QH

Main – 01905 783 352