Compliance/Operations Assistant
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| Job Type | Permanent |
| Location | Cheltenham |
| Area | South West, UK |
| Sector | Financial Services |
| Salary | up to £35,000 depending on experience and qualifications |
| Start Date | |
| Advertiser | Karen Cummins |
| Job Ref | KC/86900 |
- Description
The Company:
My client are a firm of Chartered Financial Planners looking for a Compliance/Operations Assistant to join their team.
Job Description:
- Assist the Technical Operations Manager with administration and maintenance of the T&C scheme.
- Assist the Compliance Manager with file reviews.
- Assist with monitoring and administration of the firms compliance manual and processes.
- Assist the Office Manager with IT and HR related administration.
- A point of contact for all day-to-day compliance queries for the firm, along with other members of the compliance team.
- Work with colleagues to continually monitor, update and review internal processes to improve efficiencies across the company.
- Assist with the yearly review of the centralised product research.
- Assist the Compliance Manager to liaise with external providers such as SmartSearch, SelectaPension, CashCalc for renewals, product updates/changes etc.
- Assist with corporate event planning.
- Assist with all MI collation and reporting.
- Adhere to legal and regulatory requirements including but not limited to MIFID II, COBS, GDPR and all in-house compliance requirements
The successful candidate will be expected to be office based a minimum of 3 days a week.
The Candidate:- This role requires a strong understanding of financial planning processes so would suit someone with previous administrative or paraplanning experience and a desire to move into compliance / operations.
The Package:
- Salary up to £35,000 depending on experience and qualifications
- 25 days holiday + bank holidays + birthday off
Contact:
Karen Cummins
Job Reference: KC/86900
Candidate Care:
By responding to this advert you consent to Cavendish Maine processing the personal data included within this application.
If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.
Should you not hear from us within 3 working days please assume your application has been unsuccessful on this occasion. Please be advised that if unsuccessful for this role we may keep your details in our hold file, during which time you may be contacted for other suitable vacancies. If you do not want us to do this please call us to advise.
In the meantime, we would like to thank you for your interest in Cavendish Maine.
