Compliance Assistant

Job Ref: 

An award winning provider of investment management services currently have an exciting opportunity for a Compliance Assistant to join their busy regulatory department. Located in the heart of Liverpool city centre, this forwarding thinking company hold an excellent reputation in their market and have exciting growth plans in place.

Working in a busy and varied role, the successful candidate will be responsible for completing regulatory administrative tasks, supporting senior members of the department and assisting with ad hoc project work.

This is a rare opportunity on the market to join a leading wealth management firm that can offer an excellent remuneration package and career progression within the compliance arena.

The Compliance Assistant will be responsible for:

  • Provide cover for the regulatory administration tasks for the Technical and Implementation team
  • Fully organise the individual team member’s workloads and team activities including strategy objectives, calendars and meetings
  • Produce management information for the department accurately and to deadline
  • Perform SEC monitoring and maintenance of the quarterly memorandums (plus ad hoc mailings) on behalf of the CCO in a prompt and efficient manner
  • Assist other team members with regular and ad hoc tasks as and when required including where required in different locations.
  • Maintain complete and accurate records of all work performed.
  • Maintain and develop good relationships with internal staff members and teams.

Essential Requirements are:

  • You must have proven experience in a similar compliance based role from the financial services / wealth management industry
  • Excellent I.T skills including Excel, Access
  • Proven skills in accuracy and attention to detail
  • Confident and professional communication skills
  • Ability to work in a pressurised environment

If you are looking to commit to a career within compliance, then this is the role for you! This is a fantastic opportunity to join a market leading company on a permanent basis with the offer of a competitive salary and excellent benefits package.   


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