Senior Compliance Associate

3 weeks ago

City of London, United Kingdom Thistle Initiatives Full time

**Job Title - Senior Compliance Associate - Investments**

**Contract
- Permanent**

**Reports to - Senior Manager**

**Location
- Hybrid - Minimum 2 days in London office/Home**

**Job summary**:
Thistle Initiatives provides expert advice, support and technical solutions for firms within the financial services industry.

We have a fantastic opportunity for the right individual to take advantage of developing a unique career with Thistle, providing compliance support to our clients, assisting in managing client projects and building on our diverse compliance solutions forour clients.

The Senior Compliance Associate will assist the Investments Compliance Team colleagues in delivering a range of compliance solutions to the teams’ clients. The right individual will need to demonstrate an ability to successfully handle projects from beginningto end, have a professional manner, provide an excellent client experience and be adaptable to change in this diverse role.

**Key Responsibilities**:

- Keeping up to date with FCA regulatory rules, particularly for MiFID and AIFMD firms
- Assisting with reviewing Financial Promotions
- Undertaking a check the checker role, providing a referral point to newer colleagues
- Compilation of reports on request
- Undertaking specific projects as required
- Conducting file reviews
- Writing audit reports with a reasonable level of support from colleagues
- Undertaking assisted client visits, moving towards unassisted visits
- Assisting with the FCA Senior Manager Function and Certification function take on process for regulated clients
- Providing general administrative support to senior investments compliance team colleagues
- Assisting with the development of compliance policies and procedures
- Recognition and escalation of issues to appropriate team members
- 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

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

**We offer**
- Competitive salary and the ability to grow your career within the Thistle Initiatives Group
- Hybrid working environment
- 25 - 30 days holiday entitlement depending on length of service
- Company pension scheme
- Private Medical Insurance
- Gym membership contribution
- Fantastic City of London location and working environment
- Working with dynamic teams with regular social events

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