Compliance Monitoring Assistant
Job Description
Job title: Compliance Monitoring Assistant
Company: IDEX Consulting
Job description: Access real-time salary data on over 600 roles across 40 different specialisms across the General Insurance, Financial Services and Legal professions.
Our 2023 Salary & Benefits Guide is here!
Providing the best market insight, key advice on changing economic conditions, and the latest salaries in the General Insurance, Financial Services, and Legal sectors.
Access insights now!
Our 2023 Salary & Benefits Guide is here!
Providing the best market insight, key advice on changing economic conditions, and the latest salaries in the General Insurance, Financial Services, and Legal sectors.
Access insights now!
Our 2023 Salary & Benefits Guide is here!
Providing the best market insight, key advice on changing economic conditions, and the latest salaries in the General Insurance, Financial Services, and Legal sectors.
Access insights now!
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Compliance Monitoring Assistant
Job details Posted 12 January 2024 Salary£25000.00 – £30000.00 per annum LocationGlasgow Job type Discipline Expiry 21 April 2024 Reference40915_1705050477
Consultant
Senior Consultant
Compliance Monitoring Assistant
Job description
To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions.
Responsibilities:
- Maintain compliance monitoring plan for group of companies
- Assist Head of Compliance with administration, recording and gathering of MI
- Preparation of MI and KPI on a quarterly basis
- Data input for Reg Data reports
- Data input for FCA Connect applications
- Data input for FCA Data Return requests
- Data collation, recording, and presentation for records management purposes
- Complaint handling and recording
- Breach handling and recording
- Maintain company compliance registers
- Assisting in the development and upkeep of policies and procedures
- Provide support and assistance to any ad hoc compliance projects as appropriate
- Escalate any issues, risks, or concerns to the Head of Compliance as appropriate
- Assist Head of Compliance with annual Certification process under SMCR
- Minutes taking
Skills:
- Experience working in a financial services environment preferably working within IFA Administration
- Strong written communication skills
- Understanding of UK financial services regulation
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
Our Diversity, Equity and Inclusion Mission
At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
Expected salary: £30000 per year
Location: United Kingdom
Job date: Sun, 14 Jan 2024 04:22:40 GMT
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