Compliance Associate

Location United Kingdom
Contact name: John Bute

Contact email: john.bute@greshamhunt.com
Job ref: 1385
Wealth Management
London - Up to £65,000

The Role:
  • The Compliance Associate will undertake a variety of Compliance tasks, including Compliance administration and monitoring tasks including preparing and implementing a Compliance Monitoring Plan, maintaining the Compliance Manual, Compliance policies and procedures and the Compliance registers (Financial Promotions, UCIS promotion) and will produce various committee reports for MI presentation.
  • The Compliance Associate will assist in preparing and implementing a Compliance Monitoring Plan.
  • The Compliance Associate will maintain the Compliance Manual, Compliance policies and procedures and compliance registers, including the registers for Financial Promotions.
  • The Compliance Associate will maintain the Compliance Task Workflow and will review non-complex marketing documentation and other collateral.
  • The Compliance Associate will assist in preparing compliance reports for various committees ensuring appropriate MI is presented and will assist the Compliance Officer in AML testing and in the production of the Annual MLRO Report
  • The Compliance Associate will review requests relating to clients and assess whether the client can be accepted.
  • The Compliance Associate will keep abreast of regulatory developments and review how it impacts the business and support complaint investigation.
  • The Compliance Associate will assist with regulatory returns, both to the FCA and to the SEC.

The Candidate:
  • 2+ years experience of Compliance experience within Financial Services
  • Educated to Degree level with legal knowledge being advantageous
  • A professional Compliance qualification - advantageous
  • Excellent attention to detail with strong analytical skills
  • Excellent written and verbal communication skills with strong report writing sk