Senior Compliance Associate
£55,000 - £65,000 + Bonus + Benefits
London City - Hybrid by agreement with Head of Compliance
Growing financial services group with 250 employees whose interests include stockbroking, investment and wealth management have a Compliance Monitoring role within their investment management compliance team of 8. They have a friendly open and team orientated environment where people are enjoy the culture and have access to management.
SKILLS & EXPERIENCE REQUIRED
To be considered for this excellent opportunity, you should meet the following criteria:
● Possess generalist compliance experience with knowledge in stockbroking / investment management / or wealth management
● Knowledge in securities for example dealing, custody and client assets
● A broad and detailed knowledge and sufficient understanding of the financial services industry and regulatory framework to act as an internal adviser / point of contact for the firm.
● Ability to build and maintain collaborative relationships with others.
● Some experience in supervision or management of team members.
● Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory and best practice requirements.
● Ability to work with a large degree of independence, escalating issues when and if necessary.
As part of the Compliance department you will assist with most aspects of ongoing compliance. This role will provide support to the Compliance department, helping the Head of Compliance embed a culture of compliance as well as responding to complex queries promptly and confidently. You will help with the day to day running of the Compliance Advisory team, working closely with the Head of Compliance, the Compliance Officer (SMF16) and other team members, such as the Senior Compliance Adviser, to ensure the Compliance department is run efficiently, all tasks are completed in a timely manner and team projects are kept on track.
● Monitoring the Compliance inbox for queries and ensuring that they are dealt with promptly and effectively;
● Assisting the Compliance team with the application, maintenance and evaluation of the compliance policies and procedures; and administering the requirements set out under regulatory policies and procedures as required within the Compliance team;
● Making, assisting with or supervising required reports to the regulator;
● Assisting the Compliance team with preparing regulatory MI, drafting reports and notifications;
● Helping the team to review and approve financial promotions as and when required;
● Helping the team to maintain and manage all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date;
● Providing input into the development of technical systems, business processes and projects to ensure minimisation of regulatory risk;
● Providing assistance in the resolution of errors, breaches or incidents identified;
● Assisting the Compliance team with providing advice, training and guidance to the business on regulatory matters;
● Assisting and preparing training materials and where necessary delivering training on Compliance matters;
● Assisting the Compliance team with monitoring outside regulatory developments and proactively sharing;
● Assisting the Compliance team in determining relevance and impact of regulatory change and providing support on the implementation of any changes required;
● Promoting awareness of regulatory principles and requirements and provide support for their implementation;
● Assisting in coaching, developing and mentoring newer or junior team members as and when required;
● Liaising with the monitoring team to update risk assessments, scheduling and focus of the compliance monitoring programme, this may include occasionally being asked to assist the monitoring team by undertaking thematic work;