Compliance Assistant
Posted 19 days ago
You'll complete your application on Manila Recruitment's career site.
About the Role
As a Compliance Assistant, you will oversee and audit client records, documentation, and operational procedures to guarantee full compliance with financial mandates, FCA standards, anti-money laundering regulations, and other applicable laws. You will collaborate with the Senior Compliance Manager, financial advisors, and other colleagues to uphold rigorous internal quality and regulatory benchmarks. You play a critical role in verifying that all client data and business filings align with both legal duties and company policies. This position is situated in a team-oriented setting that prioritizes precision, professional development, and high performance. You will engage in precise documentation, risk evaluation, and the ongoing enhancement of compliance procedures, while remaining informed about industry regulatory changes to support the firm's dedication to operational excellence.
Requirements
- You should possess three to five years of experience within a financial services compliance setting.
- You must have excellent English verbal and written communication abilities, particularly in composing precise and grammatically sound reports and suitability letters.
- You are expected to show high precision in preparing documents and entering data, alongside strong organizational skills for client file maintenance.
- You need proficiency in the Microsoft Office suite, specifically Word, Excel, and Outlook.
- You should demonstrate strong problem-solving capabilities and the ability to balance multiple tasks within strict time constraints.
- You must understand the vital importance of maintaining confidentiality regarding sensitive client materials.
- Previous experience with financial or back-office digital systems is preferred.
Responsibilities
- You will accept and evaluate business documentation submitted by financial advisors.
- You will prepare application forms and write suitability letters for clients that comply with regulatory standards.
- You will migrate fact-find data from cashflow programs into back-office software and refresh policy information.
- You will manage and structure detailed client records in accordance with information governance policies.
- You will perform preliminary quality control assessments on filings before submitting them to the Senior Compliance Manager for authorization.
- You will respond to management feedback and keep accurate logs of administrative processes.
- You will suggest enhancements for record-keeping workflows and support broader compliance initiatives such as research, risk analysis, and auditing.
Benefits & Perks
- You will receive opportunities for distinct career advancement within a team-focused culture.
- You will gain access to modern technology and receive tailored instruction on required back-office or financial software.
Note: This listing is summarized and paraphrased by WorkNow from a publicly posted role. For the original wording and full details, please refer to the employer's official posting.
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