Compliance Assistant

Posted 6 days ago by ARC
Easy Apply

**An opening for someone with either compliance experience, financial services administration or complaints experience **A growing IFA/Mortgage Brokerage currently numbering around 25 staff **Positive working environment, good people and dynamics.

The Company: Our client’s business was established just over 10 years ago, advising customers on a range of products from Life and Protection, to Pensions and Investment business.

The Role: This role is within a small compliance team overseeing both the mortgage and wealth sides of the business, although this role will predominantly focus on mortgage cases, helping to support the Head of Compliance. Key responsibilities will include:

  • Complete compliance monitoring checks
  • Report and discuss all findings with the business
  • Produce business monitoring documentation, including one to one’s and KPI’s
  • Assist the Compliance Director with reviews and a variety of projects

Skills / Experience Required: You should have a good standard of written, numerical and IT skills and a high level of accuracy and attention to detail. Ideally our client is looking for previous compliance experience or a background in Financial Services administration or complaints. However, any experience in administration or complaints will be considered, anything that shows attention to detail and being able to see things that others might not see.

Additional Information: The salary for this role is up to £20,000. The office is around a 15 minute walk from the nearest station, but there is a bus stop opposite our client’s office and free parking available. There is also a discretionary bonus and a pension available.

The Compliance Assistant position is only one of many vacancies we are handling. ARC is a specialist Financial Services recruiter and the Consultant handling this role has over 20 years experience in this field. Areas of focus include employee benefits/group risk, compliance, pensions, paraplanners, sales support, underwriters and IT related roles as well as a broad range of Customer Service positions. We mainly concentrate on London and the Home Counties, whilst also enjoying regular success in offering national solutions. Check the website and feel free to call Darren Snell at any time.

Required skills

  • Administrative Support
  • Complaints
  • Compliance
  • Financial Services
  • Residential Mortgages

Reference: 36090346

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