Compliance Assistant (Financial Services) - The Burford Recruitment Company : Job Details

• Company bonus
• Holiday - 25 days per year plus bank holidays
• Increasing to 27 days after 5 years’ service
• Smart Pension scheme
• Phantom share scheme
• Private Medical Insurance
• Salary sacrifice scheme
• Life assurance

The Burford Recruitment Company is delighted to be working with our client, a prestigious financial services business in Newcatle-under-Lyme, Staffordshire, to find a Compliance Assistant. This is a fantastic opportunity for a driven individual to play a key role in ensuring the company remains compliant with all relevant regulatory frameworks.

Key Responsibilities:

• Support the Compliance Officer in implementing an effective systems and controls framework to ensure compliance with FCA regulations and other relevant legislation (e.g., Data Protection Act, Proceeds of Crime Act).
• Assist in monitoring and reviewing business processes to safeguard against risk, fraud, or irregularities.
• Help identify and rectify rule breaches, ensuring all reporting requirements are fulfilled.
• Provide advice to employees to ensure process improvements align with regulatory standards.
• Coordinate the handling of client complaints, ensuring all responses meet compliance requirements.
• Collaborate on the creation and improvement of internal systems to maintain regulatory compliance and enhance operational efficiency
• Ensure compliance with Health and Safety requirements and conduct an annual review of the Business Continuity Plan (BCP).

Skills & Experience Required:

• Minimum of 3 years’ experience in a compliance role
• Knowledge of FCA regulations and some monitoring work.
• Strong understanding of business processes, standards, and policies within the financial services industry.
• A relevant industry qualification such as CISI Investment Operations Certificate (IOC) or equivalent is preferred; strong industry experience will also be considered.
• Ability to manage a varied workload and work under pressure within a small team.

Please note: This is a fully office based role and you will need to live within a commutable distance to Newcastle-under-Lyme, Staffordshire.

This is a great opportunity for someone looking to advance their career in compliance, offering competitive salary and excellent professional growth opportunities

Apply now to join a dynamic team and make a meaningful impact!