Trainee Compliance Officer

Job details

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Location Malta, London, Malta
Date Posted 1st June 2020
Category Compliance
Sector Investment
Pensions
Retirement Planning
Wealth Management
Salary €Negotiable depending on experience with relocation package and benefits.
Reference 5077
Region Europe

Description

Trainee Compliance Officer

Malta or London

C€23500 depending on experience with relocation package if applicable and benefits.

My client is a successful FCA registered financial planning and tax consultancy with established operations throughout Europe and the UK.  This is a fantastic opportunity for someone looking to develop there career in compliance. A compliance officer (Trainee) is mainly responsible for the general administration of compliance processes, on- going monitoring and review of client reports, performing audit activities while also providing on-going support to the Compliance Team.

The aim of this role is to gradually develop you into the role of a Compliance Officer.

Key responsibilities will include:-

  • Compliance checking of client reports prior to them being issued by partners and/or advisers to clients or prospective
  • The undertaking of Compliance audits which include the regular review of financial promotions, marketing material, client report manuals (CRMs) and investment reports along with other relevant documents.
  • Implementation of controls in order to prevent money
  • Monitoring, recording and dealing with official complaints against the
  • Supporting the Compliance Department in a number of key areas as well as performing and supporting in administrative work relating to one off

To qualify you must have an understanding of compliance in an IFA or similar company and have a Diploma or Introductory course in Compliance or in AML and financial crime. You must also have excellent IT literacy, interpersonal, communication and organisational skills

Ref: 5077

 

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About

Simon Bean is managing director of the Recruitment Connection and has been recruiting since 1985. He is a Fellow of the Institute of Recruitment Professionals (IRP).