Compliance Associate (Advanced Excel Essential)

Our client is looking for an individual with advanced Excel experience from the Financial Services/Investment Management/Stockbroking industry within the compliance function

The role is to regularly review and update the firm’s Compliance policies and procedures, undertake specified checks and controls on accounts to ensure financial crime risks and suitability risks are mitigated and manage the peer review process.

Key Responsibilities:

• Regularly review and update the firm’s Compliance policies and procedures.
• Financial crime controls
• Undertake specified checks and controls on accounts to ensure financial crime risks are mitigated.
• Sign off and monitor all non-UK accounts and Tier 1 accounts in accordance with the JMLSG guidance and internal requirements.
• Prepare and submit suspicious transaction reports (STRs) where financial crime is suspected.
• Manage special investigations instigated by external parties such as FCA enquiries (S165, S168, S166 etc), and regulatory and law enforcement production orders, ensuring an accurate and timely response.
• Assist in the development of improved controls for the monitoring of financial crime risks
• Undertake specified checks and controls on accounts to ensure the suitability risks are mitigated.
• Manage the Peer Review process
• Assist in the development of improved suitability monitoring processes
• Financial promotions
• Liaise with the business and provide advice and guidance on matters relating to financial promotions.
• Manage the controls for the review, approval and maintenance of records for Group financial promotions.
• Escalate findings from monitoring, reviews and investigations in a timely and appropriate manner.
• Where requested provide accurate and timely regulatory advice to projects and company initiatives.
• Act as a point of reference for the business, interpret issues raised and apply rules and principles to any given incident or compliance matter.
• Undertake other ad-hoc work/ projects as required and commensurate with the position.
• Personal Profile

   

• A good understanding of FCA, JMLSG and other appropriate regulations governing the conduct of investment management and stockbroking, supported by a good understanding of the industry and how it operates.
• A willingness to learn about new products, services and regulations and undertake professional training.
• Ability to undertake travel to branches and this may entail an overnight stay.