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
- 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
placed on the file and central file
If you are interested in this role, please email your CV to .
