Compliance Assistant : Private Wealth: EXCLUSIVE INSTRUCTION

Our client is a very prestigious long-established City-based private wealth manager . The role is aimed for an individual who wishes to develop their monitoring experience across a range of regulated activities and to enhance and improve the current monitoring tools used by the group.

This opportunity is for an individual to join a team with wide compliance and non-compliance related responsibilities, who can rapidly take on additional and responsible roles as part of their development with the group. The individual must be a self-starter, able to deal with all levels of staff across the group, be well organised and efficient, and able to work to deadlines

Principal tasks to be undertaken include:
Undertake daily, periodic and third party compliance monitoring.
Maintain and develop Compliance monitoring programme.
Assist in developing a more automated method of monitoring.
Identify and monitor risks that the business could face and recommend enhancements to business Practices that can be seen as value added.
Companies Act disclosures (Section 212 and 217 of the Companies Act).
Issue semi-annual PA dealing sign-offs and annual training and competence sign-offs for employees.
Maintenance of Breach Register (maintain and update the Breaches Database) and reporting to third parties impacted.
Involvement in ad hoc Compliance projects.

Our client seeks someone who would easily fit in to the firm , particularly as compliance tasks also cover operational matters and have client contact that enables them to attract more funds and brokerage clients. They are looking for someone who would not wish to see this role as a short term stepping stone role, but someone who is prepared to grow with the group. They must also have a "roll your sleeves up" attitude to getting the task done, an ability to manage change successfully as well as mange upwards.


Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.

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