The main duties of the role will be as follows:-
The role holder will have access rights to the relevant systems and staff members, including any records necessary to allow the role holder to carry out their responsibilities. The role holder is responsible for handling this and any other data appropriately and confidentially, at all times.
KEY RESULT AREAS
1. Support the Compliance and Technical team in developing and promoting a strong compliance culture within the business.
2. Provide assistance and guidance on compliance related queries from the firm.
3. Assist in the development of the Compliance Monitoring Programme.
4. Work with the Compliance team to ensure the firm’s systems and controls are robust, support the immediate and future business plans and adhere to regulatory requirements.
5. Identify systems, procedures and control improvements.
6. Ensure current system and controls are effective and embedded within the firm.
7. Assist with the maintenance of compliance policies and procedures.
8. Maintain relevant compliance registers, including the breaches register, higher risk client register, complaints register, gift register etc.
9. Undertake files reviews as instructed by the Compliance Manager and liaise with the Compliance Manager to address any issues identified.
10. Produce compliance related management information, as required.
11. Prepare DPA information packs.
12. Complete complaint investigation records.
13. Manage AML documents.
14. Assist with audits.
15. Provide support and assistance to any ad hoc compliance projects as appropriate.
16. Escalate any issues, risks or concerns to the Compliance Manager as appropriate in a timely manner.
17. Keep abreast of key business, regulatory and industry developments.
To be considered you must be able to demonstrate the following:-
- A background within Compliance preferably within Pensions and Financial Services
- Educated to advanced level and preferably hold a degree or relevant professional - qualification
- Good pension knowledge is desirable
- Solid knowledge of UK regulation is desirable
- Experience of working in Financial Services is desirable
Reed Specialist Recruitment Limited is an employment agency and employment business
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