Senior Compliance Associate - Financial Services - Perm - £45-50k

Law Support
02 Feb 2017
02 Mar 2017
Contract Type
Full Time

Senior Compliance Associate - Wealth Management - £45-50k - City

Our client a Financial Services company offering Private Wealth Management, Wealth Planning and Corporate Broking services are recruiting for a Senior Compliance Associate to assist with the company’s compliance policies and procedures undertaking specified checks and controls on a permanent basis.

Duties for this role will include:

  • Assist in the compliance requirements of all areas of Wealth Management, including Investment Management and Wealth Planning
  • Assist in Compliance Monitoring including thematic reviews

  • Assist in maintaining the compliance policies

  • Financial Promotion recording including review and approval

  • Providing regulatory advice and support to the business as and when required

  • Log receipt of FCA notices

  • Carrying out ad hoc project work as and when required

Skills & Experience:

  • At least 2- 5 years’ experience in a relevant area of Finance

  • A good understanding of FCA and other appropriate regulations governing the conduct of Investment Management and Financial Planning

  • Keen to learn about new products, services and regulations

  • Ability to travel with the role

  • Good knowledge of AML and Financial Crime requirements

  • A strong communicator with strong organisational skills

  • The ability to work under pressure and meet tight deadlines

  • The ability to work in a team