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Compliance Associate - 12 month FTC

  • Location: London
  • Sector: Compliance
  • Salary: £60000 - £65000 per annum
  • Job type: Contract/Interim/Temporary
  • Date posted: 11/04/2019
  • Job reference: 32795

A new opportunity is now available within a quality Wealth Management firm as a Compliance Associate on a 12 month fixed term contract. You will be assisting the compliance officer in preparing and implementing a Compliance Monitoring Plan, whilst maintaining the compliance manual, compliance policies and procedures.

Your specific duties as Compliance Officer will include:

  • Reviewing marketing documentation and other collateral
  • Assisting in the preparation of compliance reports for various committees ensuring appropriate MI is presented
  • Supporting the Compliance Officer in AML testing and assist in the production of the Annual MLRO report.
  • Support the investigation of complaints.
  • Assist with regulatory returns both to the FCA and SEC.

As a Compliance Associate you must have:

  • A minimum of 3 years experience within financial services compliance.
  • Good working knowledge of the UK regulatory framework and ideally the US regulatory framework also.
  • Preferably a professional compliance qualification.

This is an urgent requirement so please apply within.

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