We are delighted to be supporting our client with the appointment of a Junior Compliance Assistant to join the team. This is an excellent opportunity as the company has a reputation as an exceptional place to work.

The main responsibility is to assist the Compliance Officer (CO).  There are also key relationships with the senior management and all staff and third parties as appropriate. These third parties include; regulators, police authorities, Compliance Officers Association, industry associations and legal counsel.

KEY RESPONSIBILITIES:

• To assist the CO in applying and interpreting the relevant legislation, policy statements, Codes of Practice and Guidance Notes as issued by the Regulator
• To assist the CO in identifying the regulations that apply and measure/assess their impact on the firm’s policies and procedures
• To assist the CO in reviewing and confirming the effectiveness of the firm’s policies and procedures
• To manage compliance risk
• To assist the CO in maintaining compliance programmes and procedures where necessary to ensure the business complies with its regulatory responsibilities and the relevant legislation/regulations
• To assist the CO in maintaining an effective compliance training programme
• To assist the CO in providing information about a new rule or guidance through policies and procedures and notes or briefings to employees and senior management
• To assist the CO in producing a monitoring programme which will provide information about the business risks and how they are being managed, mitigated or avoided
• To assist the CO and Board of Directors in research regarding new business
• To assist the CO and Board of Directors in preparation of documentation in respect of New Business
• To provide day to day assistance to the CO and CA with administrative tasks, including writing reports, preparing structure diagrams, undertaking research

QUALIFICATIONS AND EXPERIENCE:

• A basic understanding of the compliance function and the laws and regulations
• A level of office experience is required, although no formal qualification in Compliance is required
• It is envisaged that study towards a Compliance Professional Qualification will be undertaken in due course

SKILLS & ATTRIBUTES:

• Good communication at all levels
• To be able to negotiate, reason and listen
• To be able to analyse and investigate/research certain issues and to provide a relative outcome and report relative to the findings
• To have good organisational skills and to be able to work under pressure and time frames
• Good attention to detail
• Excellent oral and written communication skills to permit good interaction with clients and colleagues
• Proven ability to manage expectations of clients and colleagues
• The ability to work under pressure and to meet deadlines, including the ability to organise, prioritise and delegate effectively and responsibly
• Ability to work in an innovative manner and to suggest any relevant changes to streamline policies and procedures to the CO
• The ability to be an effective team member
• A high level of competency in Word and Excel