Senior Compliance Associate - Financial Services

Search Consultancy
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

The Company

Financial services consultancy with offices based in Surrey and London currently experiencing rapid growth, are looking for an experienced Compliance Associate to
assist the Compliance Team in delivering a range of compliance solutions to its clients.

Key Responsibilities:

* Assisting with reviewing and approving Financial Promotions
* Undertaking check the checker role providing a referral point to newer colleagues
* Compilation of reports on request
* Undertaking specific projects as required
* First point of contact for firms
* Conducting file reviews
* Assisting with writing training material
* Assisting with Training and Competence visits to AR firms
* Writing audit reports with reasonable level of support
* Undertaking assisted client visits moving towards unassisted visits
* Assisting with Induction and Annual Assessment Training Courses
* Assisting with the AR take on process
* Providing general administrative support to the compliance team
* Assisting with the development of internal policies and procedures
* Maintaining/updating systems and databases
* Generating and reviewing MI on a regular basis, highlighting any trends with a course of recommended action to Management
* Keeping up to date with the FCA and Industry sources to assist with providing the firm with regular updates
* Recognition and escalation of issues to appropriate consultant/management
* This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position

Technical and Behavioural Competencies:

* Commercial Awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance
* Communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the regulations
* Personal Credibility: must be able to establish and maintain trusting relationships with others
* Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others.
* Individual working: must be able to work under own initiative identifying when referral needs to be made
* Pro-active - must actively seek other tasks if successfully completed one task.
* Technical skills: Advanced/Intermediate MS Excel, MS Word and PowerPoint
* Problem Solving: demonstrates an ability to solve problems in a rational manner
* Application of regulation: must gain and maintain a detailed understanding of FCA regulation and be able to apply this to the business requirements of the firm
* Attention to detail: all work must be completed with the focus on quality
* Understanding: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice
* Planning & organising: organises and plans effectively
* Time management: must be able to prioritise and manage time and tasks effectively; this includes a readiness to delegate where possible


* Relevant Financial services background and experience essential
* Educational attainment at degree level not essential but would be an advantage
* Demonstrable good standard of Maths and English literacy

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.

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