About this role:
This role would be suitable for a candidate who wishes to develop a career in regulatory compliance in the financial services sector.
Responsibilities:
- Support the compliance team in ensuring that the firm’s practices remain compliant with evolving laws and regulations.
- Undertake the tasks outlined in the Compliance Monitoring Programme, including pre and post-sale client file checks.
- Assist in monitoring regulatory changes and updates relevant to the investment industry.
- Help prepare data and documentation required for regulatory submissions and inquiries.
Essential Requirements:
- Experience in an administrative or compliance role, within the financial services industry.
- Experience with Microsoft applications, including Outlook, Word, and Excel.
- Strong analytical skills and attention to detail.
- Excellent communication and interpersonal skills.