Compliance

• 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

Explore Compliance Assistant at Manila Recruitment. Review requirements and application details.

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