Compliance Monitoring Associate

Based in the Newcastle office, you 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, with a focus on Compliance Monitoring across a portfolio of Appointed Representatives and for the Principal Firms within the Lawson Conner group of companies.

What is an Appointed Representative:

An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm's authorisation known as the principal firm.

Day-to-day as Compliance Monitoring Associate:

* Perform monitoring of Appointed Representatives and Principal Firm's activities, according to the Compliance Monitoring Plan.

* Perform monitoring of financial products / services.

* Review systems and controls in respect of conduct risk and regulatory risks

* Undertaking monitoring reviews, including Office Visits and investigation of breaches

* Production of monitoring reports for Senior Management and Appointed Representatives.

* Assisting Compliance Managers/ Directors on projects within Compliance