Compliance Associate
Posted a day ago
- London, Greater London
- Any
- External
- Expires In 3 months
Compliance Associate | London | Full Time | £45,000-£55,000 per annum (dependent on experience)
Founded in 2017, our client is a forward-looking, dynamic investment management company with a sole focus – to provide genuine high-conviction, active account management for their clients.
Recruitment is at the heart of their strategy to become the ‘best in class’ investment manager in the UK. They are always looking for dedicated and hardworking individuals to join their team. They are proud of their supportive and close working environment that aids growth and opens doors to new opportunities as they grow.
In this role, you will assist in providing oversight of all aspects of compliance with FCA rules and be responsible for monitoring policies to ensure adherence to the existing rules. Further to promote awareness and adherence to the policies for all staff.
Important Note: This is an office-based position initially. It is essential for you to work on-site to fully understand the company’s operations, as well as to effectively manage and oversee staff and processes. While the position will start in the office, there may be opportunities for hybrid or remote working in the future as familiarity with the role and the team is established.
Are you the right person for the job?
2 years’ minimum financial services experience working in a compliance function
A level or equivalent/higher relevant qualifications, and at least a C at GCSE Maths/English.
Able to handle a high-volume workload
Focused, with high attention to detail
Proactive and happy to get stuck in
Able to work with unsupervised
Discreet with sensitive information
What will your role look like?
Implementation of compliance monitoring programme, in conjunction with external consultants
Oversight Committee review tasks
Risk Committee review tasks
Assist in preparation of the Firms ICARA.
Creating the monthly Compliance Board pack
PA Dealing: monitoring and reporting
MLRO monitoring
Monitoring Fund UCITS compliance
Implementation of Staff Conduct framework, and Ft & Proper regime
Completion of Best Ex Monitoring and reporting
Day-to day implementation of Error/Breach Reporting and Complaints management
Financial Promotions review
Completion of periodic FCA reporting
Monitoring and reporting on other key compliance controls (portfolio turnover monitoring, oversight file checking
What can you expect in return?
Holiday: 25 days per annum plus bank holidays
Private Medical Insurance
Life Insurance
Workplace Pension Scheme (statutory contributions)
We are an Equal Opportunities Employer
What’s next? It’s easy! Click “APPLY” now! We can’t wait to hear from you!
Your data will be handled in line with GDPR
Founded in 2017, our client is a forward-looking, dynamic investment management company with a sole focus – to provide genuine high-conviction, active account management for their clients.
Recruitment is at the heart of their strategy to become the ‘best in class’ investment manager in the UK. They are always looking for dedicated and hardworking individuals to join their team. They are proud of their supportive and close working environment that aids growth and opens doors to new opportunities as they grow.
In this role, you will assist in providing oversight of all aspects of compliance with FCA rules and be responsible for monitoring policies to ensure adherence to the existing rules. Further to promote awareness and adherence to the policies for all staff.
Important Note: This is an office-based position initially. It is essential for you to work on-site to fully understand the company’s operations, as well as to effectively manage and oversee staff and processes. While the position will start in the office, there may be opportunities for hybrid or remote working in the future as familiarity with the role and the team is established.
Are you the right person for the job?
2 years’ minimum financial services experience working in a compliance function
A level or equivalent/higher relevant qualifications, and at least a C at GCSE Maths/English.
Able to handle a high-volume workload
Focused, with high attention to detail
Proactive and happy to get stuck in
Able to work with unsupervised
Discreet with sensitive information
What will your role look like?
Implementation of compliance monitoring programme, in conjunction with external consultants
Oversight Committee review tasks
Risk Committee review tasks
Assist in preparation of the Firms ICARA.
Creating the monthly Compliance Board pack
PA Dealing: monitoring and reporting
MLRO monitoring
Monitoring Fund UCITS compliance
Implementation of Staff Conduct framework, and Ft & Proper regime
Completion of Best Ex Monitoring and reporting
Day-to day implementation of Error/Breach Reporting and Complaints management
Financial Promotions review
Completion of periodic FCA reporting
Monitoring and reporting on other key compliance controls (portfolio turnover monitoring, oversight file checking
What can you expect in return?
Holiday: 25 days per annum plus bank holidays
Private Medical Insurance
Life Insurance
Workplace Pension Scheme (statutory contributions)
We are an Equal Opportunities Employer
What’s next? It’s easy! Click “APPLY” now! We can’t wait to hear from you!
Your data will be handled in line with GDPR