Risk and Compliance Assistant

A Risk and Compliance Assistant is being recruited to join a growing financial services business in Wirral.

Client Details

This is an international business that is growing offering it's employees great opportunities to learn and develop, and be part of a successful, established compliance team surrounded by good people. The business has over £1bn worth of assets under management and are winning new clients on a regular basis with great attrition rates. They have really strong growth plans too, so will be a great time to be joining the business.

Description

As Risk and Compliance Assistant, you will take on a very broad role with scope to learn. Your key responsibilities will be:

• Completing file reviews and investigations to carry out regulatory information requests including regulatory complaints, FSCS and Ombudsman requests
• Completing control business processing to enforce key policies within the risk management framework and control environment, including intermediary approvals and maintenance, suitable certifications, terms of business processing and maintenance, and other related activities
• Assisting with any administration of the company risk management framework and control environment
• Working to develop and enhance education and practices across the business in partnership with key stakeholders to improve regulatory compliance
• Providing effective support with assurance reviews
• Ensuring all duties are carried out within FCA regulatory compliance framework
• Assisting with production of compliance and regulatory reporting
• Maintaining accurate business records and centralised company registers
• Supporting the Compliance Director and team with ad hoc duties as and when required

Profile

The successful applicant to the Risk and Compliance Assistant must have:

• Compliance experience ideally within financial services environment
• Understanding of FCA regulations
• Knowledge of KYC/AML/complaints/GDPR is advantageous
• Good problem solving skills and able to think on their own
• Great team player but also able to work independently
• Excellent communication skills - speaking to customers, key stakeholders, and third parties

Job Offer

The package on offer:

• Up to £25,000 salary
• 23 days holiday plus bank holidays
• 5% employer contributory pension
• Flexible working hours
• Free parking available
• Great opportunities to learn and progress