Compliance Assistant

Manila Recruitment

. Monitor and review client files, documentation, and processes for compliance with financial regulations, FCA guidelines, AML rules, and other legislation .

Posted 10/13/2026full-timeRemote • PhilippinesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in financial compliance, including monitoring client files and documentation for adherence to FCA guidelines and AML rules. Proficient in drafting suitability letters and managing compliance processes while maintaining high accuracy and attention to detail.

Highest-signal resume keywords

Financial Compliance ExperienceRegulatory Documentation PreparationData Management ProficiencyMicrosoft Office Suite ProficiencyAttention to Detail

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Financial RegulationsAML RulesSuitability LettersData EntryCompliance ChecksDocument PreparationQuality AssuranceRegulatory StandardsProcess ImprovementClient File Management

Soft Skills

Written CommunicationVerbal CommunicationOrganizational SkillsProblem-Solving SkillsInterpersonal Skills

Tools & Technologies

Back-Office SoftwareCashflow SoftwareMicrosoft WordMicrosoft ExcelMicrosoft Outlook

Industry Keywords

FCA GuidelinesCompliance ResearchRisk AssessmentsFinancial AdvisersConfidentiality

About the role

Key responsibilities & impact

Monitor and review client files, documentation, and processes for compliance with financial regulations, FCA guidelines, AML rules, and other legislation
Receive and review business submission documents from financial advisers
Create application documents and required illustrations
Draft client-specific suitability letters meeting regulatory requirements
Transfer fact-find information from cashflow software into back-office software
Add and update advised policies in the back-office software
Organize and maintain complete client folders and records
Prepare compliance folders with application forms, illustrations, fact-finds, suitability letters, and related documentation
Save and organize documentation according to data management policies
Submit completed documents and compliance folders to the Senior Compliance Manager for review and approval
Address feedback and additional requirements from the Compliance Manager
Conduct initial quality assurance and compliance checks before submission
Maintain up-to-date compliance process records and regulatory-standard client files
Identify and suggest improvements to compliance processes and documentation practices
Stay informed about regulatory updates and changes
Assist with compliance research, audits, investigations, training coordination, risk assessments, policy development, reporting, and communication with regulatory bodies

Requirements

What you’ll need

At least 3–5 years’ experience in a Financial Compliance company or Finance Compliance role
Excellent written and verbal communication skills in English
Ability to draft clear, concise, and grammatically correct documents, including suitability letters and reports
Good comprehension skills to interpret and input information accurately
High level of accuracy in data entry and document preparation
Strong attention to detail
Ability to manage multiple tasks and prioritize workload effectively
Strong organizational skills for maintaining client folders and records
Proficiency in Microsoft Office Suite, including Word, Excel, and Outlook
Familiarity with financial or back-office software systems is an advantage
Basic understanding of data management and document storage procedures
Ability to review and analyze submissions for completeness and accuracy
Problem-solving skills to address inconsistencies or missing information
Ability to follow detailed processes and procedures accurately
Commitment to regulatory standards and internal guidelines
Ability to work effectively as part of a team with advisers and the compliance manager
Strong interpersonal and coordination skills
Ability to work within deadlines and manage multiple submissions
Open to feedback and willing to adapt to new processes or regulatory changes
Eagerness to learn the firm’s compliance procedures and financial products
Understanding of confidentiality and discretion when handling client information and sensitive data

Benefits

Comp & perks

Career growth opportunities
Opportunity to learn state-of-the-art technologies
Highly collaborative working environment
Training on financial or back-office software systems if needed