Compliance Assistant
M
Manila RecruitmentFinancial services
Workable locations: Philippines; Location: Philippines, Monday to Friday, 8:00 AM to 5:00 PM UK Time (8 core working hours, inclusive of a 1-hour break).Full-TimeEntry
Salary not disclosed
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Job Details
- Languages
- Excellent written and verbal communication skills in English.
- Experience
- At least 3–5 years’ experience in a Financial Compliance company or in a Finance Compliance role.
- Required Skills
- Microsoft ExcelMicrosoft OfficeData entry
Requirements
- Have at least 3–5 years’ experience in a financial compliance company or finance compliance role.
- Have excellent written and verbal communication skills in English.
- Draft clear, concise, grammatically correct documents, including suitability letters and reports.
- Accurately interpret information from submissions and other documents.
- Demonstrate accuracy in data entry and document preparation, with strong attention to detail.
- Manage multiple tasks, prioritize workload, and maintain orderly client records.
- Be proficient in Microsoft Office Suite, including Word, Excel, and Outlook.
- Have familiarity with financial or back-office software systems; training is available if needed.
- Understand basic data management and document storage procedures.
- Review submissions for completeness and correctness and address inconsistencies or missing information.
- Follow detailed processes and procedures and maintain confidentiality when handling sensitive client information.
- Work effectively with advisers and the compliance manager, meet deadlines, and adapt to feedback and regulatory changes.
Responsibilities
- Review business submission documents from financial advisers and check that required information is provided.
- Create application documents and required illustrations from submitted information.
- Draft suitability letters tailored to each client’s circumstances.
- Enter fact-find information from cashflow software into the firm’s back-office software.
- Add and update advised policies and maintain accurate client records and folders.
- Prepare compliance folders with applications, illustrations, fact-finds, suitability letters, and other relevant documents.
- Conduct initial checks of documentation against internal policies and external regulatory requirements.
- Submit completed applications and compliance folders to the Senior Compliance Manager and address feedback.
- Maintain compliance process records, identify process improvements, and stay informed about regulatory updates.
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