Group Compliance Advisory Assistant

Job Title: Group Compliance Advisory Assistant

Department: Group Compliance

Location: Bolton

Hours of work: Monday to Friday 9:00am \- 5:00pm

Holiday Entitlement: 25 days plus statutory bank holidays

Role Purpose:

Be a trusted business partner with the capacity to get things done, through persuasion, collaboration and effective communication. You will deliver Compliance advice, oversight and challenge to the business in support of the right customer outcomes.

Key Responsibilities:

• Provide advice and guidance to the business in response to compliance queries. This includes both FCA rules / guidance and anti\-financial rules / guidance.


• Support the delivery of the Group's anti\-financial crime framework by undertaking the timely investigation and resolution of daily name screening alerts, applying judgement to identify potential matches and referring these to the MLRO; maintaining the Politically Exposed Persons (PEP) register, supporting the handling of MLRO referrals; collating and producing management information (MI) and conducting quality assurance sampling of onboarding activities.


• Conduct regular monitoring such as market abuse, best execution and conduct attestations.


• Maintain the Insider and Market Soundings register and approve Personal Account Dealing (PAD) requests.


• Maintain and monitor Gifts and Hospitality, including reconciliation against expense claims.


• Support regulatory horizon scanning activities by updating the regulatory change tracker with publications and assisting the initial assessment of their relevance and potential business impacts.


• Assist in maintaining the firm's compliance policies and procedures, considering best practices and any regulatory changes.


• Represent Compliance at forums, working groups and other meetings.

Promote a strong compliant culture within the business, through engagement and activities such as regulatory training.

• Knowledge, Skills \& Qualifications

Essential Skills:

• Able to problem solve and deal with queries.


• Able to prioritise and work to strict guidelines.


• Attention to detail.


• Strong written and verbal communication skills.


• Good numeric skills.

Beneficial Skills:

• Able to persuade and influence.

Good stakeholder management at all levels.

• Essential Qualifications:


• 5 GCSE's Grade A\-C (must include Mathematics and English)

Beneficial Qualifications:

• Completion or working towards the Investment Operations Certificate (IOC).

An industry recognised financial crime qualification.

• Essential Experience:


• 12 months experience working within a similar role sector.

Beneficial Experience:

• Familiarity with FCA regulations, including the FCA Principles for Businesses and Handbook.

Experience in anti\-financial crime role, including money laundering and sanctions.

• Essential Personal Qualities:


• Work collaboratively as part of a team.


• Able to work under pressure.


• Positive attitude.


• Flexible and able to learn quickly.


• Friendly and approachable.

Resilient.

• Other Entitlements:


• Competitive salary with annual salary reviews


• 9% non\-contributory pension


• Annual discretionary bonus scheme


• Long Term Incentive Plan (LTIP)


• Private Healthcare Scheme with Dental and Optical Care


• Death in Service at 5x Annual Salary


• 35 Hour working week


• Training for IOC and other relevant qualifications


• Study Leave


• Cycle2Work Scheme


• Eye Test Reimbursement


• Your Birthday off


• 13 weeks full paid maternity leave


• 2 weeks full paid paternity leave

This listing is from indeed. View original listing ↗