Compliance Assistant

Main purpose of job

To assist the Head of Compliance in achieving and maintaining a continuous high level of compliance and customer service within the firm.

Key tasks

  • To assist with opening, maintaining & closing files
  • To assist with acknowledging complaints enclosing policy and procedure
  • To assist with circulation and follow up of 28 day report
  • To assist with monthly file reviews – i.e. that the follow up actions have been dealt with, signed off and
  • placed on the file and central file

  • To assist in carrying out call quality audits and reporting any performance issues to HOC and HR
  • To assist in typing of transcripts of calls in respect of complaint files
  • To report to and liaise with Directors in absence of HOC
  • Any assistance with Lexcel
  • Any other ad-hoc duties relating to compliance and risk management

If you are interested in this role, please email your CV to .