Our client in the Horsham area is looking for someone with a good level of Financial Services industry experience, preferably in a retail/IFA environment to join their team
Do you have
- Some understanding of FCA rules and their interpretation/application
- Strong analytical, observational, written and verbal communication skills
- Organised with the ability to prioritise tasks
- Ability to communicate with people at all levels and build rapport
- Excellent attention to detail and ability to work to tight deadlines
Are you able to
- Assist and support the Compliance Supervisor in administering the supervisory scheme
- Provide telephone cover and support for the Compliance Supervisor
- Prepare Daily, Monthly, Quarterly, Bi Annual and Annual tasks to assist the Compliance Supervisor including -
- Prepare 1-1 documentation
- Prepare skills assessment documentation
- Prepare KPI reports
- Prepare knowledge assessment documentation.
- Prepare training evaluation and development plan documentation
- Update activity sheets
- Pre-pare audit documentation
- Follow up on outstanding compliance actions required by advisers
- Attend Quality & Risk, Aspect 8 and Supervisory Team Meetings as required and add to the discussion as appropriate
- Undertake supporting administrative tasks for the Compliance Supervisor as and when required
- Liaise effectively and confidently with senior management within both Best Practice and Aspect 8
- Maintain an up to date and accurate compliance document library for use by Aspect 8 Advisers, Para-planners and Support Staff
First Recruitment Services are acting as an employment agency in relation to this vacancy.
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