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Compliance Associate - Advisory

  • Location: City of London, London
  • Sector: Compliance
  • Salary: £35000 - £40000 per annum
  • Job type: Permanent
  • Date posted: 13/11/2018
  • Job reference: 31747
This vacancy has now expired.

A new position within an incredibly succesful financial services grouop based in the heart of the City of London

It requires a dynamic, post-entry level compliance professional to play a key role in the Advisory Compliance function, monitoring regulatory developments and advising the business on Compliance matters.

General Duties
* Support the Supervisor, Advisory in monitoring key regulatory developments and offering advice and guidance to other units as required
* Assist the Supervisor in the implementation of new regulations and other projects (e.g. SMCR)
* Assist the Supervisor in analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business
* Perform ongoing tasks such as reviewing and signing off on financial promotions
* Perform "deep dive" complex ad hoc monitoring tasks e.g. review of outsourcing arrangements
* Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business
* Assist in the administration of compliance policies and procedures
* Conducting Compliance Inductions to new employees

You should have prior relevant experience

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