Compliance Associate

Page Personnel Finance
Beckenham, UK
12 Jun 2019
19 Jun 2019
Contract Type
Full Time
A compliance associate is required for a financial services business based in Beckenham.

Client Details

A Financial Services business offering a wide range of financial services to both private institutional businesses.

  • To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules
  • Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes
  • Support the delivery of the Compliance monitoring plan by completing monitoring in line with the annual plan, engaging with the business, identifying areas of regulatory risks and issuing a report that appropriately describes the risks and any recommendations.
  • Provide relevant advice and approval to any new products, marketing initiatives or enquiries that may be sent to the team, ensuring that the response is sufficiently documented and recorded.
  • Where appropriate, design and assist with the delivery of be-spoke training to staff and actively review to ensure these remain up to date and reflect the current regulatory environment
  • Monitor and assess all compliance breaches and incidents, providing feedback to the business to support the improvement of knowledge and the quality of incident reporting.
  • Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident register
  • Complete and submit reports/registers/returns to various parties (including senior management)
  • Obtain knowledge and awareness of relevant rules and business practices to become an SME in the chosen field.
  • Assist in compliance and regulatory change projects as allocated

Assist with the update and maintenance of Compliance procedures

  • Experience in working in an FCA regulated environment
  • Ideally a graduate in Law, Business or Finance
  • Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
  • Ability to use Microsoft Office programmes
  • Applies sound analytical thinking
  • Ability to manage relationships and work collaboratively with stakeholders across the business and externally
  • Demonstrates sound moral and ethical practices.
  • Able to sustain long periods of concentration to digest complicate and lengthy text

Job Offer

£35,000 to £40,000 based in Beckenham.

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