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Compliance Assistant

Wimborne Minster

£ 40000 - 45000/annum hybrid working pattern

Our client provides essential infrastructure services to the wealth management industry, including custody, brokerage, pensions, and technology solutions. These services are designed for IFAs, wealth managers, investment managers, and family offices.

At the heart of their offerings is an investment platform service that allows financial advisers and managers to manage all their clients' investments in one secure, high-quality platform. This service is available for both UK and international markets.

Additionally, our client licenses enterprise technology that integrates with existing systems in the wealth management sector. This integration facilitates growth and enhances service capabilities for both the business and its clients.

About the role of Technical Compliance Specialist: You will review and implement changes due to new laws. You'll ensure our products and services follow all legal and industry standards. Your role involves providing technical compliance support across various business areas and leading or contributing to projects. You will also collaborate with experts to manage and enhance the compliance practices.

As a Technical Compliance Specialist, your role centres on ensuring that the operations align with FCA Consumer Duty rules, internal values, and compliance standards.

Key responsibilities include:

*

Handling daily compliance inquiries, particularly those related to changes in legislation, regulations, and specific rules concerning H...

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