Compliance & Risk Support

Posted 3 days ago by Mazars
Job Purpose

To assist the Compliance Director/Manager in the implementation and monitoring of regulatory and internal compliance procedures. To minimise the risk to the company from it’s today activities 

Job Role

• Assist the Compliance Director/Manager in providing compliance support to the firm.

• Assist the Compliance Manager in processing of complaints.

• Collate and maintain all regulatory logs.

• Assist the Compliance Manager in production of regulatory returns.

• Assist the Compliance Manager with the checking of client files to ensure compliance with internal / regulatory standards.

• To undertake the pre-approval of high risk reports

• To be deputy Pension Specialist

• To approve financial promotions.

• To keep compliance procedures, forms and manuals up to date.

• To undertake compliance monitoring on the Mazars Investment Services.

• To help staff with day to day compliance queries.

• Record and maintain T&C records in conjunction with the T&D Partner / Compliance Director

• To file and / or store records and file in accordance with internal standards so they can be accessed and / or retrieved in an efficient manner.

• Ensure prompt and effective communications with internal / external contacts.

• To build and maintain positive working relationships with colleagues and key contacts.

• To plan and organise work activities to ensure targets and service standards are met.

• To develop and maintain a good understanding of a broad range of financial products and associated legal and regulatory requirements.

To identify and refer opportunities to improve working practices and / or risk management to enable improvements to be made.

Person Specification

• Significant practical experience within the financial services sector preferably with an Independent Financial Adviser OR Experience of working in a compliance environment.

• An appreciation of the FCA Rulebook.

• Has a knowledge and understanding of all products / services associated with the financial services market including life, pension, protection, wealth management and group risk products.

• Has an understanding of financial advice processes.

• Financial Planning Certificate or Diploma Qualified.

• To have AF3 or equivalent to undertake Pension Specialist duties

• Good written / keyboard and verbal communication skills.

• Excellent IT skills with a particular knowledge of Microsoft Office. Experience of Intelligent Office is an advantage.

• Good analytical skills – attention to detail.

• Able to work on own initiative and to deadlines but equally able to work as part of a team.

• Able to build effective internal and external relationships.

• Seek opportunities to develop own skills and demonstrates commitment to own development.

• Adaptable to changing demands and priorities.

• Able to respond to change and think of different approaches to issues.

 • Appropriate appearance for a ‘Professional’ office.

Please CLICK HERE to download our benefits booklet

Please CLICK HERE to download the job description.

About Mazars

Mazars is all about people – we believe that each individual makes a difference to the Mazars culture. As an international firm with strong European roots, we are a melting pot of different cultures and disciplines. Diversity is one of our main strengths.

We are an international, integrated, transparent and independent organisation specialising in audit, accountancy, tax, legal, and advisory services. The Group has a presence in 77 countries and draws on the expertise of 17,000 professionals.

We all work within a culture of high support and high challenge at Mazars. We are not afraid to take on new and greater responsibilities. But we do this through encouragement – not pressure and competition.

Mazars LLP is an equal opportunities employer and all applications received by the firm will be considered by the firm on the basis of their merit alone and we welcome applications from all suitably qualified individuals regardless of background. All offers of employment will be conditional on the candidate having/securing the right to work in the UK and providing the firm with evidence of that right (as required by the Immigration, Asylum and Nationality Act 2006) prior to employment commencing.

Reference: 34662544

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