Compliance Associate

Job Description

Our client provides a robust, unbiased and client-focused advice service for those looking at transferring their UK defined benefit pensions schemes.

They are FCA regulated Pension Transfer Specialists, with a wealth of expertise and specialist knowledge in this area.

The company is currently seeking to increase its compliance function and is in search of a Compliance Associate to assist the Compliance Manager with all aspects of the Company’s internal systems and controls and FCA record keeping requirements. The role will involve:

  • Regulatory ‘Horizon’ Scanning
  • Assisting with Compliance Monitoring

·Assisting with development and maintenance of regulatory frameworks

·File reviews

·Assisting with External Audits

·Quality Assurance checks

You will ideally have a compliance background, preferably with experience of file reviewing including Defined Benefit Pensions or Wealth Management. You will be looking to take your next step into a generalist Compliance Role. The ideal candidate will also have:

·Excellent communication and interpersonal skills

·Capability to explain complex information simply and clearly

·Research and analytical skills with a strong attention to detail

·Time management skills

·Self-motivation and organisational skills

·A professional and flexible approach to work

·Excellent Word, Excel, Office knowledge

·Ability to work under pressure to short deadlines

Ideally you will have the Level 4 Diploma in Financial Planning or already be working towards this.

In return you’ll receive a competitive remuneration package including:

  • Up to £35,000 salary (dependent on qualifications and experience)
  • 25 days holiday plus public holidays
  • Private Medical Insurance (PMI) after 6 months
  • NEST Pension
  • Discretionary bonus
  • Opportunity to progress / study support