This is a fantastic chance to further your career within a respected and growing business in a friendly, relaxed environment.
You will be working closely with for the license part of the business, supporting the Operations Manager.
The Role and Responsibilities
- Assist with the implementation of the compliance framework and interaction with advisers to ensure regulatory compliance
- Provide compliance advice to the business and its authorised representatives
- Evaluate the impact of legislative changes, and ensure the relevant parties are fully informed
- Assist with regulatory reporting
- Document current and proposed procedures
- Ensure a culture of compliance within the company
- Assist with preparation of reports to the all related parties.
- Handle incoming inquiries from new clients
- Assist with queries from existing clients
- Assisting Advisers with diary management, booking appointments and insuring they are prepared for client meetings
- Liaise with the in house Compliance teams to co-ordinate client files are ready
- Raise awareness of regulatory requirements and compliance policies
• Manage issue notifications, client complaints and claims processes ensuring an efficient and fair resolution
• Liaising with regulators in compliance and with representatives of their licensee
• Perform internal audits of processes to ensure adherence to compliance policies. Provide recommendations for post-audit improvements
• Create reports outlining any issues with compliance policies
• Develop and deliver training programs to increase the understanding of compliance policies, regulatory requirements and ethical conduct.
• Contributing to system improvements to ensure a more effective, efficient and compliant process
- Assist with ad-hoc queries from Advisers on the license
- Degree qualification in business, financial planning or related discipline preferred, but not compulsory
- DFP or RG146 qualifications will be highly regarded
- Experience developing and advising on compliance frameworks
- A strong understanding of regulatory requirements for compliance
- Have excellent attention to detail and organisational skills
- Be able to communicate well with advisers face to face and over the phone
- Ability to work as part of a tight knit team