Job Description

About the Role

As a Compliance Assistant, you will work closely with the compliance team to assist in a variety of administration and compliance tasks that all contribute to the client achieving responsible growth, and achieving compliance with local regulations. You will be working alongside a wide range of skilled and experienced team members and stakeholders across multiple internal departments meaning there is opportunity to grow and develop in our large organisation.  You will also have the opportunity to:  

• To provide the  group with an independent, objective compliance service as part of the group’s systems to ensure compliance with legal and regulatory obligations
• Assisting with production of information for compliance reports as required by the Compliance Manager 
• As appropriate to provide guidance on the proper application and implementation of relevant laws, regulations and internal procedures for junior member of the team
• Provide compliance guidance and support to client facing teams and will assist with the acceptance of new business.  
• Advise the Compliance Manager of significant matters, concerns or breaches of laws or regulations
• Ensure as far as possible the security of the information retained by the Department
• Complete timesheet and other administrative tasks, as appropriate and within set timescales
• Attend internal and external training sessions as set by the company
• Any other ad hoc duties as they arise

About You

You will be an enthusiastic individual, ideally with experience working in an office or similar environment and a willingness to learn. The emphasis of this role will be on administrative support duties, so a knowledge of compliance, regulation and legislation is not essential as training will be provided and you will have a support network within the department to assist you. The following attributes would be advantageous: 

• The interpersonal skills necessary to work with staff at all levels to operate effective compliance operations
• Analytical and logical approach to problems and queries
• Communication and report writing skills
• Knowledge of internal processes and procedures
• Compliance experience, especially in a TCSP, fund or professional services environment
• Knowledge and experience in the business activities and operations
• Good understanding and knowledge of Microsoft packages
• Personal qualities of discretion, neutrality and independence of judgement