Compliance Training & Competence Assistant
Title:
Compliance Training & Competence AssistantType:
PermanentStart Date:
ASAPSkills:
The successful applicant will have reached the minimum of the Chartered Insurance Institute certificate level or equivalent
with an aim of reaching Diploma level or higher over the years ahead. He/she will have worked for an Independent Financial Adviser firm with experience of dealing with high net worth clients.
Analytical
and problem solving abilities
Decision
making abilities
Emotional
intelligence
Business
promotional attitudes
Personal
Attributes:
Be honest and trustworthy
Be respectful
Possess cultural awareness and sensitivity
Be flexible
Demonstrate sound work ethics
Mental demands:
The position can involve discussing the results of file checks and where consultants
feel strongly that their file is better than it really is. The file checker needs to be sympathetic to
the points raised by the Consultant remaining flexible enough to change the file review
where a valid point is put forward and remain firm work where the point is
unjustified or it doesn’t meet the requirements of a compliant file.
Description:
The new compliance assistant will have the following responsibilities:
The provision of hands on compliance support
to assist the Training and Competence manager in the implementation of a pro-active
Training and Competence scheme. This
includes the provision and maintenance of internal registers and other
compliance documentation records and KPI
To check at least one client new business file
per month per consultant. This will involve the assessment of the suitability
of the advice, checking that adequate “know the client” information is recorded
and ensuring that the presentation of any reports and suitability letters meet
standards.
Ensure that any file check remedial work is
completed by the consultant and team in a timely manner and that it is
recordedTo assist the compliance director by
investigating and preparing a response for any complaints received
