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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!
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