Compliance Assistant

  • Permanent
  • Bath, South West
  • Posted 12th March 2019
  • £22000.00 - £26000.00 per Annum + study support and bonus
  • Ref: 1201404
This highly regarded financial services organisation has a need to bolster its Compliance Team and support ongoing growth by recruiting a new Compliance Assistant. You will form part of a small team and receive first class training and mentoring from an established and highly regarded team of Compliance/Risk professionals. You will be supported with your studies and be able to develop a clear and long term career. If you are looking for your first footing into the Compliance/Risk arena then this is the ideal opportunity to get started!

Key Responsibilities:

Complaint handling, investigation and resolution in a compliant manner that treats customers fairly
Dealing with the Financial Ombudsman Service (FOS) in relation to any complaint investigations
Supporting the business to resolve breaches, incidents and complaints
Assisting with suspicious activity investigation and reporting for the protection of financial crime
Assisting with the submission of timely regulatory reporting data to the Financial Conduct Authority (FCA)
Support training and awareness to internal colleagues of regulatory requirements
Assisting with compliance approval of marketing material
Assisting with Risk and Compliance business monitoring activities
Work as part of a team to ensure that all work gets completed within the required timescales

Required skills:
Two years plus experience in a financial services role
Confident interpersonal, communication and persuasion skills
Demonstrate energy and enthusiasm, takes ownership, delivers results and improves personal performance
Ability to work well individually as well as part of a team
Ability to work to demanding deadlines
Strong IT skills (Especially Excel, Word, Email)

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