Skip to main content

This job has expired

Compliance Assistant

Recruiter
Confidential
Location
Kent
Salary
24000.00 - 25000.00 GBP Annual + Bonus
Closing date
28 Jul 2022

View more

Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
To provide monitoring support to ensure the company complies with all relevant FCA regulations and to contribute to the management of conduct risk, including culture and quality assurance, to ensure the fair treatment of customers.

Key Responsibilities & Duties of the Assistant Compliance Auditor role:

Undertake customer care telephone calls and record findings
2nd line monitoring of field force of Financial Advisers
2nd line monitoring of internal staff to ensure fair customer outcomes
Assist Compliance team with follow up/investigation of areas of concern
Identify at risk performers
Identify customer vulnerability
Liaise with Compliance team to achieve monitoring targets
Assist Compliance team with various MI for reporting purposes
Knowledge, Skills and Experience for the Assistant Compliance Auditor role:

Experience of working in Financial Services
Knowledge of Life Assurance, Investment and Pension products is ideal, but training will be given
Understanding of Conduct Risk and Treating Customers Fairly (TCF) outcomes
Excellent communication skills both written and verbal
Ability to identify customer vulnerability and to act appropriately
Motivation and ability to develop
Additional Information for the Assistant Compliance Auditor role:

Full-time role - 35 hours per week- start and finish times will vary depending on requirements
Monday to Friday
Training provided
This company has inhouse trainers that will train you on the product
There will be opportunities for work related study and progression within this company for the Assistant Compliance Auditor

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert