Compliance Assistant

This is a fully remote position, open to applicants in Philippines.

📋 Description

• Oversee and evaluate client files, documentation, and procedures to ensure adherence to financial regulations, FCA guidelines, AML rules, and other legal requirements.

• Collect and assess business submission documents from financial advisers.

• Generate application documents and necessary illustrations.

• Compose client-specific suitability letters that comply with regulatory standards.

• Transfer fact-find information from cashflow software to back-office software.

• Add and update advised policies within the back-office software.

• Organize and maintain comprehensive client folders and records.

• Prepare compliance folders containing application forms, illustrations, fact-finds, suitability letters, and related documentation.

• Save and structure documentation in accordance with data management policies.

• Submit finalized documents and compliance folders to the Senior Compliance Manager for review and approval.

• Address feedback and further requirements from the Compliance Manager.

• Conduct initial quality assurance and compliance checks prior to submission.

• Keep compliance process records and client files up to date with regulatory standards.

• Identify and recommend enhancements to compliance processes and documentation practices.

• Stay current with updates and changes in regulations.

• Assist with compliance research, audits, investigations, training coordination, risk assessments, policy development, reporting, and communication with regulatory authorities.

⛳️ Requirements

• A minimum of 3–5 years of experience in a Financial Compliance firm or in a Finance Compliance role.

• Outstanding written and verbal communication capabilities in English.

• Proficiency in drafting clear, concise, and grammatically correct documents, including suitability letters and reports.

• Strong comprehension skills to accurately interpret and input information.

• High degree of accuracy in data entry and document preparation.

• Excellent attention to detail.

• Capability to manage multiple tasks and effectively prioritize workload.

• Strong organizational skills for maintaining client folders and records.

• Proficient in Microsoft Office Suite, including Word, Excel, and Outlook.

• Familiarity with financial or back-office software systems is a plus.

• Basic understanding of data management and document storage protocols.

• Ability to review and analyze submissions for completeness and accuracy.

• Problem-solving skills to rectify inconsistencies or missing information.

• Ability to adhere closely to detailed processes and procedures.

• Commitment to maintaining regulatory standards and internal protocols.

• Ability to collaborate effectively as part of a team with advisers and the compliance manager.

• Strong interpersonal and coordination skills.

• Ability to work within deadlines while managing multiple submissions.

• Open to receiving feedback and adaptable to new processes or regulatory changes.

• Willingness to learn the firm’s compliance procedures and financial products.

• Understanding of confidentiality and discretion when managing client information and sensitive data.

🏝️ Benefits

• Opportunities for career advancement.

• Chance to learn cutting-edge technologies.

• Highly collaborative work environment.

• Training provided on financial or back-office software systems if necessary.