Group Compliance Advisory Assistant

Group Compliance Advisory Assistant focuses on provide advice and guidance to the business in response to compliance queries. this includes both fca rules.

What the role involves

• Provide advice and guidance to the business in response to compliance queries. This includes both FCA rules.
• Maintaining the Insider and Market Soundings register and approve Personal Account Dealing (PAD) requests.
• Monitor Gifts and Hospitality, including reconciliation against expense claims.
• Supporting regulatory horizon scanning activities by updating the regulatory change tracker with publications and assisting the initial assessment of their relevance and potential bus.
• Assisting in maintaining the firm's compliance policies and procedures, considering best practices and any regulatory changes.

Skills and requirements

• 5 GCSE's Grade A-C (must include Mathematics and English).
• An industry recognised financial crime qualification.
• 12 months experience working within a similar role sector.
• 9% non-contributory pension.

Confirmed role details

• Monday to Friday 9:00am - 5:00pm.
• Holiday Entitlement: 25 days plus statutory bank holidays.
• Deliver Compliance advice, oversight and challenge to the business in support of the right customer outcomes.