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- Performing compliance file audits and monitoring department file audits, liaising with the Risk & Compliance Manager regarding any corrective actions and associated reporting.
- Maintaining the firm's compliance registers.
- Assisting the Risk & Compliance Manager with maintaining the firm's SRA records and industry accreditations .
- Maintaining the firm's compliance training registers.
- Organising firmwide in-person training and maintaining the firm's on-line training platform.
- Assisting with new starter compliance engagement.
- Assisting the Risk & Compliance Manager with practising certificate renewals.
- Assisting with and maintaining referrals records and performing compliance audits.
- Compiling data and producing reports and commentary on various compliance data for the Risk & Compliance Manager and Compliance Board.
- Monitoring and providing updates to the firmwide department manuals.
- Monitoring and following up on the firm's Undertakings register.
- Preparing materials in advance of compliance training, meetings and clinics.
- Performing additional ad-hoc compliance associated tasks and activities as delegated by the Risk & Compliance Manager.
- Assisting the MLRO with review of and commentary on source of funds and wealth evidence enquiries.
- Review, process and respond to queries in relation to compliance, breaches, complaints, feedback, claims, money laundering, and other compliance issues arising across the Firm;
- Assist the Risk & Compliance Manager with compiling monthly reports on problem areas / departments.
Compliance Assistant - Rushmoor, Surrey, United Kingdom - RGS Global Ltd
RGS Global Ltd
Rushmoor, Surrey, United Kingdom
2 weeks ago
Description
My client, an established law firm have a newly created role for a Compliance Assistant to join their compliance team. You will be working as part of the wider Compliance team and reporting directly to the firm's Risk & Compliance Manager on a day-to-day basis.
Key responsibilities: -
Whilst we would love to be able to respond to every application we receive, it isn't always possible. If you have not heard from us within 7 working days, please assume that your application has not been successful on this occasion