Compliance/Operations Assistant

The Company:

My client are a firm of Chartered Financial Planners looking for a Compliance/Operations Assistant to join their team.

Job Description:

• Assist the Technical Operations Manager with administration and maintenance of the T&C scheme.
• Assist the Compliance Manager with file reviews.
• Assist with monitoring and administration of the firms compliance manual and processes.
• Assist the Office Manager with IT and HR related administration.
• A point of contact for all day-to-day compliance queries for the firm, along with other members of the compliance team.
• Work with colleagues to continually monitor, update and review internal processes to improve efficiencies across the company.
• Assist with the yearly review of the centralised product research.
• Assist the Compliance Manager to liaise with external providers such as SmartSearch, SelectaPension, CashCalc for renewals, product updates/changes etc.
• Assist with corporate event planning.
• Assist with all MI collation and reporting.
• Adhere to legal and regulatory requirements including but not limited to MIFID II, COBS, GDPR and all in-house compliance requirements

The successful candidate will be expected to be office based a minimum of 3 days a week.

The Candidate:

• This role requires a strong understanding of financial planning processes so would suit someone with previous administrative or paraplanning experience and a desire to move into compliance / operations.

The Package:

• Salary up to £35,000 depending on experience and qualifications
• 25 days holiday + bank holidays + birthday off

Contact:

Karen Cummins

Job Reference: KC/86900

Candidate Care:

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In the meantime, we would like to thank you for your interest in Cavendish Maine.