We have a great opportunity for a Compliance Assistant to join a Specialist Wealth Management company.
• Assist with conducting an efficient and comprehensive Compliance Monitoring Program (“CMP”).
• Take ownership and assist with outstanding risk/file reviews and arranging with client administrators the remediation of deficiencies.
• Assist with maintaining / updating / developing / enhancing policies & procedures where required due to:
i. Change in the GFSC Rules & Regulations
ii. Change in the Local & International Laws
iii. Change in working practices both internally and externally
• Where deficiencies are identified through the CMP and specific training is required such requirements should be noted to the Head of Compliance.
More information about this role is available upon request – contact the team today for further details.
We’ve built our reputation on one basis – a people-first approach that focuses on culture and ability.
For candidates that need additional support, we’re able to prepare you for the entire application process. Whether you need help with your job search or preparing for an interview, we make sure that you’re always prepared for the next step in your application.
We have a range of resources available, all available for you to read for free.