James Phillip Financial Recruitment are working with a local Chartered Wealth firm looking for a Compliance/ops assistant.

Job Purpose Summary

To ensure that the day to day compliance and operational requirements of the firm are maintained, by assisting the Compliance and Operations Directors.

Role and Responsibilities

• Assist with all regular audits relating to work across all of the Wealth firms (and subsidiary) businesses (Spreadsheets, Internal systems, checklists, mailboxes, fees, documents/templates).
• Assist with any adhoc project work relating to compliance and operational compliance.
• Assist directors to maintain and update compliance and operational procedures
• Assist the Operations Director with pre-sale advice report quality checking
• Assist the Compliance Director with post-sale file reviews
• Work alongside the Compliance Director as a point of contact for all day-to-day compliance queries for the firm
• Assist the Operations Director with aspects of the T&C scheme including, but not limited to, adviser annual competency assessments (call listening).
• Monitor firm adherence to all relevant regulatory requirements
• Responsible for Activity Register Spot Checks within KFA
• Adhere to legal and regulatory requirements including but not limited to MIFID II, COBS, GDPR and all in-house compliance requirements
• Adhere to the FCA certification and conduct rules at all times
• Maintain a polite, professional and positive attitude at all times

Along with your main duties, you will also be expected to carry out any other duties that are reasonably asked of you.

You are expected to keep your knowledge up to date through continuous professional development (CPD)

1 day per week from home

Some financial services qualfications needed - QCF level 3 idealy 4 or working towards.