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Compliance Specialist

2 months ago

Worthing, West Sussex, United Kingdom Equiniti Full time

Job Summary

This position is to assist the Compliance Manager maintain a framework for ensuring that the business remains compliant with regulatory and industry requirements across UK Shareholder Services.

Key Responsibilities

  • Delivery of the Market Abuse Regime (MAR) and suspicious transaction monitoring and controls for EFSL; ensuring that issues/recommendations are escalated to line management in a timely manner.
  • Track adherence to broker limits; escalating for sign-off where breaches occur and retain evidence of such sign off.
  • Ensure compliance issues are escalated immediately on discovery and that resolution is tracked and reported.
  • Monitor compliance performance of key business areas as agreed with line manager, recommending actions to resolve problems to maintain an acceptable risk profile. Maintain effective reporting mechanisms so that attainment/issues are reviewed with line management.
  • Assist with the development and maintenance of policies as agreed from time to time with line management. Where applicable, ensure monitoring/reporting mechanisms are put in place.
  • Support the application and maintenance of FCA Registration regulations.
  • Act as a contact point in respect of issues specific to role; escalating any concerns to line management.
  • When required provide project and other compliance related support ensuring own deliverables are on time and to specification.
  • Support the maintenance of procedures for area, which set out purpose and context of the task, as well as the actual process steps.

Requirements

  • Analytical skills
  • Self-organisation & Self-motivation
  • Ability to learn new tasks with minimal supervision
  • Ability to plan tasks and keep to timescales
  • Ability to identify system/process improvements
  • Able to write reports /communicate with Managers (both internally and externally)
  • Good communication skills (both written and oral)
  • The successful candidate will be expected to undertake a relevant compliance qualification as part of the FCA training and competence regime
  • Providing excellent customer service (courteous, prompt service)

What We Offer

Benefits

  • Save For Your Future - Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%
  • All Employee Long Term Incentive Plan (LTIP) - Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.
  • Health and Wellbeing - Employee Assistance Programme: counselling, legal & wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance cover.
  • Employee discounts - Discounts and cashback at your favourite high street stores through our EQ Wins Platform.
  • Flexible Benefits - The ability to purchase a wide variety of benefits through our flex plan; gadgets, travel insurance, will writing, holiday trading and more.
  • Time Off - Typically 28 days holiday + bank holidays. 2 volunteer days to get involved with a charity of your choosing.
  • Winning together - Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.
  • Learning & Development - Investment in LinkedIn Learning for all colleagues.