Compliance Assistant, Canterbury (CR-1626)

Qualified Financial Services Professional to assist their Compliance Director.

The role

• Assessing and checking the advice provided by the advisory team.
• Assessing the work being produced for clients and ensuring the firms high standards are maintained.  
• Provide technical support and assistance to the advisory team and so a good knowledge of current legislation is necessary.
• Run ad hoc projects reviewing the needs of clients and ensuring we are meeting them.
• Assisting with the technical training of staff.
• Checking to ensuring all anti-money laundering requirements are fulfilled and perform audits of assets held on platforms.
• Assisting with the training of staff and ensuring that CPD is complete and recorded by staff.
• May be required to run ad hoc projects reviewing the needs of clients and ensuring we are meeting them.

About you

• Experienced in the advisory process or experince working within an IFA firm
• Have experience of suitability report production, ideally with knowledge of Trusts, IHT Planning, Pensions, Investments and Wealth Management.  
• Hold at least Diploma (level 4) qualified, or working towards  
• Recent experience of working in an IFA environment 
• Maybe suited to someone who wishes to progress from a Senior Admin / Paraplanner to a supervisory function. 

Benefits

• Support with ongoing study and the firm will require you to take further qualifications to gain Chartered Status and to take part in Continuous Professional Development.  
• Potential for an annual discretionary bonus, pension scheme membership (with a 5% employer contribution, increasing after 5 years service),
• Group life cover (4 x earnings) and group income protection cover.  
• Salary is negotiable based on experience.