Compliance Assistant

Basildon, UK

Job Type


About the Role

We are very pleased to be working with a Basildon based Mortgage brokerage, on their search for a Compliance Assistant. The role has been created to support the continued growth and regulatory requirements on the business.
• Directly assisting the Compliance Manager in the execution of their regular and ad hoc duties
• Providing effective support and assistance in the undertaking of checks of all business partners, introducers, lenders and networks
• Undertaking and providing feedback on Adviser file checks to ensure AML, regulatory and Company policies achieve the required standards
• Fielding emails and calls from Advisors in relation to live cases and facilitating discussion relating to internal policies and regulatory compliance processes and case management.
• Helping to maintain accurate and relevant business records and centralised compliance registers
• Proactively identifying new responsibilities and looking for opportunities to streamline and draw additional value from the governance and compliance processes


Skills and experience required:

· Experience with the processes of file or audit checks, preferably within an FCA regulated environment

· Motivated and focused self-starter who has the ability to learn new skills

· Strong organisational and communication skills

· Detail oriented with commercial awareness of business requirements

· Ability to manage multiple tasks and working to strict deadlines

· A strong grasp of written English and excellent proof-reading skills

· Computer literate in Word, Excel and PowerPoint

· Ability to provide excellent customer service to customers and stakeholders

· A flexible approach to work, and the ability to work well as part of a dynamic team

· Positive attitude with a strong desire to learn and progress