Compliance Assistant - Mortgages, IFA, Wealth & Asset Management

My client is a well established Independant Financial Advisors full service Wealth and Asset Management firm. A new role has been created to provide high quality compliance support to the existing Compliance team.

You will be responsible for building a collegiate relationship with both Advisers and support staff

Delivering a strong level of service to assist the Head of Compliance in designing, implementing and overseeing the operation of effective systems and controls to mitigate business risks and ensure compliance with the regulatory system

Assist with the preparation and undertaking of regular file checks for New Business & Ongoing Reviews (including Pension, Mortgages, Investments etc)

Preparing management information and input into how procedures can be improved.

Communicate with the business and record any remedial action required

Identify training needs and assist Advisers with keeping their CPD records up to date

Arrange training and carry out the annual fitness and properness checks for Advisers

Assisting with keeping compliance records up to date including the Breaches Register

Keep the risk registers up to date

Assist the external Regulatory Consultancy firm with their Business Risk visits

The ideal candidate will have some experience in a Compliance department within an IFA Wealth Manager. Mortgage and / or Pension Qualifications would be an advantage. We would also consider candidates currently in a paraplanning role with an interest in Compliance and also candidates working within Mortgage Compliance.