c. £45,000 + Benefits
almost 2 years ago
This role involves assisting the Head of Compliance in promoting a compliant culture throughout the company and working as part of a team to pro-actively ensure the business is compliant with its relevant regulatory and legislative obligations for investments.
Key responsibilities include:
- Building effective working relationships with operational areas to maximise understanding of compliance and regulatory requirements
- Supporting the training and development needs of the team and ensuring they are met through delivery of programs that develop appropriate skills, knowledge and behaviour
- Confidently communicating with clients at a senior level, both internally and externally, in relation to regulation/rules/guidance and the impact on the clients’ portfolio’s with supporting evidence.
- Assisting the business in raising operational and service standards through the identification and recommendation of best practice
- Continually monitoring regulatory fines and other market initiatives to ensure business practices and processes, and those of its clients are not exposed to such weaknesses, and are amended where required
- Supporting operational and regulatory projects acting as compliance SME to ensure regulatory requirements are met and any risks to the business are mitigated
- Compiling compliance reports for both internal and external stakeholders
- Detailed knowledge of FCA, SYSC, COBS, CASS, GDPR/DPA, ISA, FATCA rules and guidance
- Experience working in a financial services’ regulatory environment
- Attention to detail with ability to interpret complex information
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.