Compliance Coordinator Pt/ft Wfh

4 months ago

Leeds, United Kingdom rebuildingsociety.com Full time

The **Compliance Coordinator** is responsible for monitoring the firm’s day-to-day operations to ensure we meet the compliance requirements in accordance with the firm’s policies and processes. With your help, we can take pride in our quality control and maintain a customer-centric-culture to deliver good outcomes.

**Regular Oversight**:

- CASS
- Maintains daily 2nd line oversight for rebs and ARs
- Ensures all records and withdrawals are accurate
- Creates CASS Monthly Board reports
- Helps review policies/processes related to CASS
- Creating and implementing communications calendar
- Financial Promotions
- Approves Financial Promotions for the company
- Spot check social media, sites, and telecoms to ensure compliance
- Does Annual review and creates board report of Financial Promotions
- Anti-Money Laundering
- Day-to-day review of notable transactions
- Carryout regular AML and PEP spot checks
- Review and report on record keeping, policies, and systems
- Financial Resources
- Conducts review management accounts of Distributors
- Assess as a going concern
- Review fundraising plans
- Review year end accounts and draft board report
- Other
- Assisting in drafting/proofing policies and processes
- Contributing to blog posts and other marketing material

**Job Requirements**:

- Accreditation with the International Compliance Association or CISI
- Working towards relevant industry compliance qualifications
- Degree educated or minimum of 2 years’ experience in a Compliance role
- Analytical thinker with strong conceptual and problem-solving skills
- Meticulous attention to detail with the ability to multi-task
- Ability to work under pressure and meet deadlines
- Ability to work independently and as part of a team
- Excellent documentation, communication and IT skills

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