Compliance Assistant

Nature & Scope:

You will be part of a team who will be responsible for ensuring accurate implementation of our compliance and risk management procedures; to promote the firm’s committed to excellent service and maintain key databases. To manage your own performance and to deliver a high level of customer service to our clients. To work collaboratively with colleagues across departments to facilitate the smooth running of the firm’s compliance and risk management procedure.

This role reports to Marsha Pearson, Partner.

Key Competencies:

*  Business service focus

*  Self-motivation

*  Excellent use of initiative

*  Excellent verbal and written communication

*  Ability to handle complex issues

*  Professional personal presentation

*  Ability to work to deadline and under pressure

*  Skilled in the use of IT

*  Organised with excellent time keeping

*  Attention to detail and accuracy

*  Discretion for confidential information

*  Positivity and enthusiasm

Key Accountabilities:

Compliance

·         Under the direction and supervision, to implement the firm’s compliance checks, including but not limited to:

o   Client care implementation

o   ID

o   Conflict checks

o   SRA checks

o   Lender exchange bank account checks

o   Client bank account checks

o   Source of funds, and source of wealth checks

o   Completion compliance checks

·         To liaise with clients and third parties in order to complete the compliance procedures

·         Ensure a strong client experience, minimise complaints and assist clients where appropriate to understand what information is required from them and why

·         To identify and report to Compliance manager, any possible areas of risk for the firm

·         Be responsible for the maintenance of up to date and accurate compliance databases

·         To deal with enquiries as efficiently as possible

·         Escalate any issues to line manager

·         To maintain good working relationships with colleagues and other departments

Administration

·         To provide administrative support to the firm, including but not limited to the following:

o   Producing and maintaining compliance data and files so that the information and supporting documents are readily accessible

o   Ensuring that confidential information is not passed on to third parties without appropriate permission

        o   Handle information in a manner consistent with the firm’s policies relating to data protection and information security

Package:

*  Competitive salary

*  20 days per annum annual leave plus statutory bank holidays.  Additionally, the firm ordinarily closes between Christmas and New Year albeit the firm reserves the unfettered right to withdraw this additional leave as required by business needs. You will also get an extra day’s holiday for your birthday

*  Entitlement to join the company pension scheme.

*  Entitlement to participate in the firm’s cash healthcare scheme.

*  Enhanced Maternity Pay (subject to conditions)

Other Candidate Information:

*  The role will be based at our Northwich office in Cheshire but there will be a contractual requirement to work at any of our Cheshire offices. 

*  Although this role is advertised as a full time position the firm will, upon request, consider whether the role can be conducted on a part time or shared basis.

*  Any offer is conditional upon receipt of a satisfactory reference, a basic DBS check, Social Media Check, Employee Credit Check, Sanctions Check and a check with our Regulatory Body

*  Poole Alcock is an equal opportunities employer and intends to treat everyone equally regardless of disability, race, sexual orientation, age or marital status.

Please Note: Applications will only be considered if submitted on our application form.  Please arrange to forward this to Diane Powell, HR Manager at careers@poolealcock.co.uk