About

Our client is a leading IFA firm who are looking for a Compliance Assistant to support its growing regulatory function. This is an excellent opportunity for someone looking to build a long-term career in financial services compliance within a professional, well-resourced environment.As Compliance Assistant, you will provide day-to-day administrative and operational support across compliance and complaints. You’ll be involved in a wide range of activities, giving you valuable exposure to how a regulated financial advice firm operates.Role & Responsibilities:Supporting the Head of Compliance with regulatory and compliance administrationAssisting with the handling, logging and tracking of client complaintsPreparing and maintaining complaint files and correspondenceHelping monitor and record regulatory deadlines and actionsMaintaining accurate compliance records and registersAssisting with policy, procedure and document updatesSupporting regulatory reporting and data requestsProviding general administrative support to the compliance functionDo you have the following to apply? Previous experience in the Financial Services Industry.An understanding of the requirements of the FCA.Experience within an IFA/Wealth Management firm would be beneficial.Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.Clayton Davies is acting as an employment agency on behalf of our client.