Compliance Assistant
Northampton, England, United Kingdom
MHA Caves Wealth
with the development and review of internal policies, procedures and related documentation. • Ensuring all firm and client records are retained in line with our data security, data protection and record keeping policies. • Assisting the Compliance Manager in ensuring all required notifications to the FCA are accurate and … are made in a timely way – including data compilation as required. • Assisting the Compliance Manager in carrying out client file reviews. • Assisting the Compliance Manager in the delivery, coordination and recording of Training & Competence items for all relevant staff. • Assisting the Compliance Manager in ensuring the firm’s compliance more »
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