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
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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
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
You need to sign in or create an account to save a job.
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