My Client is currently looking for a compliance assistant for their Investment Management business in Manchester.
• Establishing/implementing and maintaining the firm’s compliance policies and procedures, including:
• To ensure compliance with all regulatory requirements from various entities such as the FCA, the ICO (Data Protection Act) and European legislation
• Completing the compliance monitoring review (including monthly, quarterly, semi-annual and annual checks)
• Signing off all communications to clients including financial promotions & keeping appropriate records
• Updating the Compliance Manual as appropriate
• Monitor, design and implement strategies to comply with new legislation & directives (e.g. from EU and FCA)
• Signing off new client files prior to new account set-up to ensure all documentation appropriate
• Regularly reporting to Partners/Directors including annual compliance report
• Assisting in the completion of any FCA returns as required
• Liaising with external compliance consultants as appropriate
• Such other project related work as deemed to be appropriate from time to time.
• Working with colleagues and external consultants to ensure that such operational and monitoring processes are put in place to ensure an efficient and compliant operation
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.