Compliance Associate

1 day ago

London, United Kingdom eFinancial Careers Full time

Niche buy-side institution, based in London managing over £4 billion AUM for 25,000 investors require a Compliance Associate. The business work in partnership with financial advisers, wealth managers and family offices to create investment solutions fortheir clients.

The compliance team is at the heart of the organisation and supports the day-to day running of the business, as well as providing regulatory support and guidance for the businesses staff. The firms clients include financial advisers, retail investors. nominees,banks and HNW individuals.

The Compliance Associate is a newly created role reporting into their Compliance Manager. The successful individual will be expected to contribute to the compliance functions ongoing improvement of team's processes. On a daily basis the Compliance Associatewill perform the following;
- Provide support to the Compliance team
- Review materials, presentations, and websites to ensure compliance with regulatory requirements
- Assist in the ongoing Compliance Monitoring programme, ensuring that the findings are recorded, and any issues are rectified
- Investigate any irregularities or non-compliance issues
- Ensure operational policies, processes and procedures deliver the regulatory outcomes required
- Ongoing assessment of the firm's controls
- Assist in gathering of internal information in response to regulatory requests
- Providing ongoing compliance training when required
- Provide written or verbal guidance to staff

Additional Requirements;
- Excellent communication skills, with the ability to interact with senior management
- Problem-solving ability
- Ability to analyse and interpret information quickly
- Good IT skills including Microsoft Office
- Ability to thrive within a fast paced and changing regulatory landscape
- Ideally looking for someone with at least three years compliance experience ideally within UK Retail Wealth Management

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