Compliance Assistant

• Monitor and review client files, documentation, and processes for compliance with financial regulations, FCA guidelines, AML rules, and other legislation
• Receive and review business submission documents from financial advisers
• Create application documents and required illustrations
• Draft client-specific suitability letters meeting regulatory requirements
• Transfer fact-find information from cashflow software into back-office software
• Add and update advised policies in the back-office software
• Organize and maintain complete client folders and records
• Prepare compliance folders with application forms, illustrations, fact-finds, suitability letters, and related documentation
• Save and organize documentation according to data management policies
• Submit completed documents and compliance folders to the Senior Compliance Manager for review and approval
• Address feedback and additional requirements from the Compliance Manager
• Conduct initial quality assurance and compliance checks before submission
• Maintain up-to-date compliance process records and regulatory-standard client files
• Identify and suggest improvements to compliance processes and documentation practices
• Stay informed about regulatory updates and changes
• Assist with compliance research, audits, investigations, training coordination, risk assessments, policy development, reporting, and communication with regulatory bodies

• At least 3–5 years’ experience in a Financial Compliance company or Finance Compliance role
• Excellent written and verbal communication skills in English
• Ability to draft clear, concise, and grammatically correct documents, including suitability letters and reports
• Good comprehension skills to interpret and input information accurately
• High level of accuracy in data entry and document preparation
• Strong attention to detail
• Ability to manage multiple tasks and prioritize workload effectively
• Strong organizational skills for maintaining client folders and records
• Proficiency in Microsoft Office Suite, including Word, Excel, and Outlook
• Familiarity with financial or back-office software systems is an advantage
• Basic understanding of data management and document storage procedures
• Ability to review and analyze submissions for completeness and accuracy
• Problem-solving skills to address inconsistencies or missing information
• Ability to follow detailed processes and procedures accurately
• Commitment to regulatory standards and internal guidelines
• Ability to work effectively as part of a team with advisers and the compliance manager
• Strong interpersonal and coordination skills
• Ability to work within deadlines and manage multiple submissions
• Open to feedback and willing to adapt to new processes or regulatory changes
• Eagerness to learn the firm’s compliance procedures and financial products
• Understanding of confidentiality and discretion when handling client information and sensitive data

• Career growth opportunities
• Opportunity to learn state-of-the-art technologies
• Highly collaborative working environment
• Training on financial or back-office software systems if needed