Based in our London office, the Compliance Associate will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance.
Please note that full training will be provided via our academy.
- Perform day to day Compliance Monitoring tasks following a Monitoring Plan
- Assist in reviewing client systems and controls in respect of conduct risk and business risks
- Conduct file reviews and special compliance projects
- Undertake monitoring reviews and investigation of breaches
- Review and approve financial promotions
- Draft compliance monitoring reports
- 2-3 years experience within an FCA regulated services firm, within a Compliance function
- Excellent client facing skills and interpersonal communication skills
- Excellent user of Microsoft Office
- Experience of working to tight deadlines
- Strong organisational skills
- Excellent communication skills both written and spoken
- Desire to work in an dynamic, fast-growing company environment with bluechip clients
- A-level and Bachelors degree preferred (Economics, Law, Business)
- Strong communication skills, written and verbal
We are an award winning investment manager platform and compliance service provider. The firm has recently been voted “ B2B Business of the Year” by an expert panel of senior business judges during the Amazon Growing Business Awards 2017 competition.
Our clients are of institutional nature and range from specialised hedge fund managers to large asset management firms with well-established track records who utilise a broad array of investment strategies.
This is an exciting opportunity to join a fast growing organisation with a highly motivated and client focused team.
The successful candidate will be offered a competitive salary, benefits package and a bonus.