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Compliance Administration Assistant

Thorntons Investments
Closing date
15 Sep 2021

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Contract Type
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Job Details

Our busy Compliance team is growing. The post-holder will be responsible for carrying out day-to-day compliance risk monitoring and supporting the Compliance team on regulatory matters support to the business in line with regulatory requirements.

Principle Responsibilities

· Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times, including conflicts of interest.

· Monitor adherence of Compliance regarding TCF, T&C and Financial Crime procedures of the firm at all times.

· Ensure that compliance records and supporting documentation are maintained, accurate and kept up to date at all times across all areas of the business and in accordance with firm procedures (e.g. complaints record, new business register, financial promotion records).

· Assist Compliance Risk Adviser in responding to requests from the FCA and ensure the relevant notifications to the FCA.

· Maintain records evidencing firm's adherence to TCF outcomes. (Dealings with customers are carried out in a professional and courteous manner and appropriate ethical standards exist within the firm).

· Maintain records evidencing approved persons are made aware of their responsibilities under the FCA's Code of Conduct, Conflicts of Interest and Personal Account Dealing rules (Distribute staff declaration forms for completion annually)

· Ensure knowledge of the necessary regulatory requirements are kept up to date. (Threesixty Compliance Round-up, Regulator up-dates etc).

· Assist Compliance Risk Adviser in ensuring the firm continues to meet its threshold conditions (COND).

· Report to Compliance Risk Adviser on a regular basis on all relevant compliance issues.
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