We’re Hiring!

  • Posted

Compliance Assistant

Duties will include:

  • Co-ordination of Client Satisfaction responses including annual review of content and process.
  • Triage Complaints from Clients.
  • Communicating with SRA in relation to compliance issues.
  • Ensure SRA updates and amendments are communicated to and actioned by all staff members within the business.
  • Preparing documents for insurers on an annual basis and liaising with Company Insurers at intervals during the year.
  • Triage Money Laundering notifications.
  • Dealing with releasing files to clients and third parties.
  • Co-ordinating Anti Money Laundering checks for all new clients and matters.
  • Responsibility for Credit Control for the business.
  • Closing of Files and removing from systems.
  • Opening Files and onboarding new clients and ensuring procedures followed.
  • Monitoring File Opening Procedures – ensuring completion of Anti-Money Laundering Checks, obtaining money on account, T&Cs issued and returned, etc – highlighting issues and concerns to fee earners.
  • Preparing and presentation of monthly report to Management Board.
  • Monitoring of File Review actions.
  • Co-ordination of Random File Reviews by Heads of Teams.
  • Support Head of Business Services in review and update Business Continuity Plan.
  • Support Head of Business Services in review and update of Risk Reviews/Maps & Registers.
  • Ensuring compliance with ICO obligations.
  • Ensuring accurate central recording of Undertakings.
  • Co-ordination of Client Care information review and updates.
  • Co-ordination of Review of File Opening & Onboard procedures.
  • Ensure Website Compliance with regulatory requirements.
  • Data Security Agreements reviewed.
  • Ensuring compliance sections in office handbook are updated and communicated across the business.

Key qualities:

  • Attention to detail.
  • Very organized.
  • Ability to prioritise workload and multi-task.
  • Excellent communication skills.
  • Professional.

In addition to your primary duties, you may be required to undertake additional or different duties, which, from time to time, are considered necessary, and consistent with your role in the company and in support of other members of the business services team.

The ability to speak Welsh would be an advantage.

Excellent on the job training will be provided.

This is a permanent full-time position, but we would consider job-share applications as well.

Salary: National Living Wage

Please apply in writing by providing a CV and a covering letter to hr@agriadvisor.co.uk.

Closing date for applications: 29th November 2024

For a confidential discussion regarding the role, please call Lowri Jones or Sharon Morgan on 01558 650381