Average Compliance Assistant salary in the UK

Equifind have teamed up with an exciting digital FX business in London, who are looking to add a compliance manager to the team. The business has grown considerably over the past few years due to high demand and market growth, so you have a chance to join a fantastic working environment where everyone has a voice to create a collaborative culture. We are looking for a compliance manager, who is ready to take the next step in their career and aiming to be SMF16 for the business. If this is you, then please reach out to us. Key duties and responsibilities for this compliance manager position include: Assist the current SMF16/17 on liaison with the regulators and the NCAResearching regulations and legislations; acting as advisory support to the Head of CompliancePreparation and review of documentation for high-risk clients, escalating to the MLRO as requiredAssisting with review and investigation of internal SARs and STORsMonitoring and completion of ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handlingMonitoring of transactions in respect of AML and MARAssisting with any regulatory matters, including AML/CDD, MAR, MiFID II, SMCR, PRIIPsManage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal policies.Complete due Diligence checks on potential clients to identify and mitigate risks associated with AML and KYC regulations. Verify client information and perform background checks using internal and external data sourcesStay up to date with relevant regulatory compliance requirements and industry best practices. Ensure compliance with AML/KYC regulations and implement necessary procedures to mitigate potential risksWork closely with the wider compliance team in the group to ensure a smooth onboarding experience for clients.Maintain accurate and up-to-date client records, including all relevant documentation and correspondence. Ensure proper filing and storage of client information in accordance with data protection and privacy regulations. Experience & Qualifications 5+ years’ practical experience in a compliance positionStrong understanding of client onboarding, AML and KYC regulations, with a proven ability to conduct thorough due diligence and identify potential risks.Knowledge of foreign exchange and cryptocurrency markets would be a big plusExcellent communication and interpersonal skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectivelyProficiency in using CRM systems, trading platforms, and other relevant software applicationsSignificant knowledge of FCA industry standards, regulations, and anti-financial crime matters About the business A new player in the global financial services space with a strong focus on both the traditional and digital offerings. The company has an exciting management team that has a proven track record in the brokerage sector. The business has a strong focus on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer experience. With multiple offices across the Europe, you will be joining a business in the growth phase and work closely with multiple stakeholders across the business, on a regular basis. You will take on all the senior compliance duties for the London office, as well as the managing the entire onboarding process. This is a real generalist role. Salary This exciting opportunity for a compliance manager will ideally start as soon as possible but we will look at all level of candidates on notice periods. We will be looking at candidates in the range of £70k-£90k depending on individual backgrounds, qualifications, and years of experience. This is a hybrid opportunity and three days per week in the office is required.

Compliance Officer / Training and Competence Supervisor South Leicestershire (our ref AL1233) Salary £32,000 - £35,000 plus generous benefits inc 10% non cont pension, DIS and parking Consideration may be given to part time hours An office based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium sized, friendly Independent Financial Services company based in South Leicestershire. The role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings. Experience in wealth management / financial services is essential, along with enthusiasm and commitment in delivering a first-class service to colleagues and helping ensure that they in turn deliver a first-class service to our clients. CII Diploma Level 4 (or equivalent) is a minimum requirement. Responsibilities of the role: Train and coach experienced and new IFAs on the Company Advice process.Observe and provide feedback to advisers using the Company Observation Guide.Support and develop trainee IFAs as requiredCheck trainee advisers’ advice pre-sale, until signed off as per the T&C Scheme.Supervise a team of IFAs with various levels of experience and skills and complete 1-1’s as required.Summarise findings to discuss at monthly Compliance T&C meeting and feedback to the compliance team if areas not meeting standards are identified.Support the Senior Compliance Manager when required.Other special projects of investigation and compliance support when required.Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.Keep up to date with all relevant product, legislative and technical changes, as required. Ideal person, skills and experience: Someone who has worked in a wealth management / financial services organisation and who understands regulations/compliance and ideally has supervised Retail Investment AdvisersA working knowledge of Microsoft Word, Excel and Outlook with the ability to get to grips with what might be an unfamiliar software package e.g., the Companys back-office system (X Plan) and Risk Profiling Tools.Well-presented, self-motivated and organised, with a good work ethic.Will take personal responsibility for the quality and timeliness of work and can achieve results with minimal supervision.Able to stay focused on tasks, despite distractions and interruptions.Be an integral part of the team - a good communicator, willing to input new ideas and suggestions to improve process.Flexible in their approach to work and processes. The right candidate should be able to adapt/evolve as working practices change.Diploma level 4 qualified. If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website.

Compliance Administrator Salary: £26k + Great Company Benefits Location: Horsham Hours: Mon - Fri 9am - 17.30 Free Parking Do you want to work for a well-established organisation that offers great training, a friendly working environment and the opportunity to further your career within financial services? If so, I have a great opportunity within my client’s compliance department based out of their office in Horsham. You will already have a proven business administration background ideally within financial services or the insurance industry, with excellent IT skills with great attention to detail. Responsibilities: Booking in appointed representatives for their risk assessment visits and assist with booking field-based supervisor visits.Deal with all paperwork resulting from these visits and file as appropriate.Chasing of outstanding action points resulted from the periodic risk assessments.Book travel, accommodation and car hire for all members of the compliance department.Scanning files and post received into the department and distributing, whilst maintaining a record of files received and returned.Scheduling monthly induction courses and maintaining the online record of attendance and distributing course information packs to attendees.Book and set up meeting rooms for internal courses, order food and organise refreshments.Check off reigned member files, label and arrange storage.Update internal systems with new member information.Enter test results from E-Learning systems onto internal systems.Provide lunchtime cover on reception as requested and deal with overflow telephone cover.Preparation of all purchase orders for the department. The right candidate will have the following skills and experience to apply: Proven administrative background ideally within financial services or insurance.Good organisation and administrative skills.Great IT skills and can use Excel and Word database applications.Ability to work as part of a team and on your own initiative.Good communication skills with a strong work ethic.Ability to prioritise and manage your own workload effectively. This is a great opportunity to join a reputable organisation that offers training and career progression. To be considered for this role, please send your CV in ASAP