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.