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Our client is seeking a diligent and self-motivated Compliance Associate to join their team in London. This role offers an exciting opportunity to ensure the company's activities comply with the principles, rules, and guidance of the FCA and other relevant regulatory bodies. The successful candidate will be part of a collaborative team, providing administrative support primarily to the Compliance team and assisting in other areas as required.
What you'll do:
As a Compliance Associate, your role will be pivotal in ensuring that our client's activities align with the principles, rules, and guidance of the FCA and other relevant regulatory bodies. You will provide essential administrative support to the Compliance Monitoring Team, handling initial assessments of breaches and complaints. Your responsibilities will also include maintaining a database of regulatory reporting due dates as per FCA schedule and preparing & validating RegData compliance returns. Additionally, you will assist with all aspects of surveillance monitoring and coordinate the administration of various annual regulatory exercises.
- Provide day-to-day administrative support to the Compliance Monitoring Team
- Responsible for the initial assessment of breaches and complaints
- Maintain database of regulatory reporting due dates as per FCA schedule
- Prepare & validate RegData compliance returns
- Assist with all aspects of surveillance monitoring
- Coordinate the administration of various annual regulatory exercises
What you bring:
The ideal candidate for this Compliance Associate position is a keen learner eager to progress within the function. You are a collaborative team player with a positive flexible attitude towards being asked to get involved in issues across the Compliance and Risk function. Your diligence and self-motivation are matched by your excellent organisation skills and attention to detail. Good communication skills are essential for this role, as well as knowledge of MS Office products - particularly Excel.
- Keen learner with an eagerness to progress in the function
- Collaborative team player with a positive flexible attitude
- Diligent and self-motivated with excellent organisation skills and attention to detail
- Good communication skills
- Knowledge of MS Office products - a good Excel skill base is needed
What sets this company apart:
Our client values diversity, equality, and inclusion (DEI) as an integral part of their culture and daily operations. They believe in creating an inclusive environment where everyone feels valued and respected. They are committed to providing equal opportunities for all employees regardless of their background or personal circumstances.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
