Compliance & Legal
|Salary:||£30000 - £35000 per annum + Bonus + Bens|
|Job Published:||about 3 years ago|
£30000 - £35000 + Bonus + Benefits
ABOUT THE COMPANY:
Our client is a fast growing, dynamic business with market leading positions across our areas of expertise - funds, market services, corporates and private client, and banking and credit management services. With offices across the UK and Europe they are part of a global organisation, headquartered in Australia
To contribute to the delivery of an engaging and effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating within a compliant manner.
- To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules.
- Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes.
- Support the delivery of the Compliance monitoring plan by completing monitoring in line with the annual plan, engaging with the business, identifying areas of regulatory risks and issuing a report that appropriately describes the risks and any recommendations.
- Provide relevant advice and approval to any new products, marketing initiatives or enquiries that may be sent to the team, ensuring that the response is sufficiently documented and recorded.
- Where appropriate, design and assist with the delivery of be-spoke training to staff and actively review to ensure these remain up to date and reflect the current regulatory environment.
- Monitor and assess all compliance breaches and incidents, providing feedback to the business to support the improvement of knowledge and the quality of incident reporting.
- Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident register.
- Complete and submit reports/registers/returns to various parties (including senior management).
- Obtain knowledge and awareness of relevant rules and business practices to become an SME in the chosen field.
- Assist in compliance and regulatory change projects as allocated.
- Assist with the update and maintenance of Compliance procedures.
- Experience in working in an FCA regulated environment
- Ideally a graduate in Law, Business or Finance
- Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
- Excellent communication skills - both written and face to face
- Ability to use Microsoft Office programmes
- Proactive and solution focused
- Applies sound analytical thinking
- Ability to manage relationships and work collaboratively with stakeholders across the business and externally
- Demonstrates sound moral and ethical practices.
- Able to sustain long periods of concentration to digest complicate and lengthy text.
- Regulatory change
- Compliance monitoring
- Report writing
- Innovation, change and continuous improvement
- Results focused
- Technical awareness
- Commercial awareness
- Customer service
- Team working
- Risk and conduct management
- Negotiating and influencing.
- Planning and organising
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