Our client is seeking a Compliance Assistant to join their team.
Role / Duties:
- Responsible for accurate and timely investigation in accordance with internal processes and regulatory requirements
- Investigate, analyse and handle resolution taking into account SRA, BIBA, FOS & FSA requirements and Treating Customers Fairly (TCF)
- Communicate with customers in an effective manner to discuss concerns and confirm the outcome of investigations
- Maintain accurate information to support workflow
- Court Attendance may be required in which training can be provided:
- Ability to implement best practices
- Conduct investigations and compile investigation reports
- Ensure that the Companies interests are protected and the authorisation of litigation has been appropriately risk assessed.
- This is a critical function of the business and the job holder will have significant influence over the development of the department. It is an ideal role for someone who is looking to make a difference and develop strong working relationships across the business.
To apply for this role the successful candidate must have the following skills:
- Experience in a similar customer facing role
- Able to work to deadlines
- Team player who can also work with minimal supervision
- The ability to investigate and analyse and communicate effectively, using influencing and negotiation skills
- Must have the ability listen actively to customers’ needs
- Experience of providing written communications to customers
- High attention to detail
- Intermediate computer skills
- Operations focused with an understanding of processes and administration
- Must have solid foundation of UK regulation/compliance/risk management with deep knowledge and understanding of Financial Services Handbook.
- Understand about the rules of evidence, evidence gathering and knowledge with the relevant regulatory bodies.
How to apply:
To apply for this role please forward your CV in confidence quoting reference 1707-22SH alternatively for more information about this opportunity please contact Stuart Holland
Due to the high volume of applications that we receive, if you do not hear from us within 7 days unfortunately your application has been unsuccessful
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