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Compliance Associate - Wholesale/Securities Firm

  • Location: London
  • Sector: Compliance
  • Salary: £35000 - £50000 per annum
  • Job type: Permanent
  • Date posted: 07/07/2017
  • Job reference: 26721

Our client is a medium-sized wholesale banking and securities business based in the heart of the City of London

Key Responsibilities

  • Undertake the compliance risk based monitoring programme of checks for adherence to relevant regulatory requirements, including daily, monthly and thematic monitoring.

  • Implement new regulations and regulatory change projects within the organisation, including interpretation of FCA and EU rules at source level.

  • Draft compliance policies and procedures, and make updates/improvements to existing procedures.

  • Research and report on regulatory developments with opportunities to present to senior management as the role develops.

  • Carry out staff induction and ongoing training on compliance matters and assist in keeping training materials up to date.

  • Undertake the compliance processes for new joiners, including arranging competency assessments, registration with the regulator and coordinating exams and training.

  • Assisting with various compliance tasks as requested.

Person Specification

  • Experience within Financial Services Compliance, preferably in a wholesale or securities environment.

  • Strong knowledge of the UK Financial Services regulatory regime, ideally with a regulatory qualification.

  • Project management skills, with a proven track record of delivering to timescales.

  • Preferably educated to degree level, with a high standard of written English

Who we work with

Other Clients