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Purpose
About The Role
This entry-level position supports the Compliance Advisory team in delivering core compliance functions across the 7IM Group. The role will assist with the administration and oversight of key compliance activities, including employee compliance monitoring, regulatory horizon scanning, financial promotion reviews, and responding to day-to-day compliance queries. The successful candidate will gain broad exposure to regulatory compliance within a fast-paced financial services environment, contributing to the effective management of regulatory risk and the promotion of a strong compliance culture.
Training will be provided on all tasks with initial tasks being primarily administration in support of two senior team members and moving on to more complex activities as the role develops.
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Responsibilities
- Support the maintenance of compliance systems, including reviewing alerts and administering user access within the ‘STAR’ compliance tool
- Assist in the review of financial promotions to ensure accuracy and regulatory compliance
- Monitor and summarise regulatory publications and developments
- Help prepare governance and committee packs using Microsoft PowerPoint
- Maintain accurate records by filing emails and documents appropriately and ensuring SharePoint folders are clearly named and well organised
Skills
About You
- Strong written and verbal communication skills
- Proficient in Microsoft Office
- High level of accuracy and attention to detail
- Organised with good time management and the ability to prioritise effectively
- Enthusiastic and eager to learn with a proactive mindset
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Knowledge
- Basic understanding of the UK retail financial services industry
- Awareness of the role of financial advisers, investment platforms, and investment funds
- Awareness of the regulatory environment and the role of the Financial Conduct Authority (FCA)
- Interest in financial services regulation and a desire to develop compliance knowledge further
Other Relevant Information
- Enthusiastic and keen to use initiative
- Able to display an understanding of key compliance and risk principles
- Team player with understanding of key current and forthcoming regulatory developments.
About Us
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