Average Compliance Associate salary in London

Junior Risk and Compliance Associate (1-2.5 years experience) Company My Client is a full-service multi-family office which helps clients with the challenges and opportunities that arise in finance, business and family life. The purpose of this role is to provide compliance support to the Risk & Compliance Officer. You will monitor the activities of the business to evidence that they are carried out within the regulatory framework and the associated risks are understood and managed effectively as well as carry out other reasonable duties from time to time in support of the goals of the business. Primary tasks * Monitoring the delivery and maintenance of best-in-class compliance and risk programmes, policies and practices * Analysing complex comparative data, assisting with the preparing and presenting reports related to compliance risk assessments, and monitoring compliance-related issues * Reviewing materials to ensure compliance with various regulatory and legal requirements and ensuring compliance risks are appropriately identified and addressed * Investigating compliance and risk issues, preparing required documentation, making recommendations to the Risk & Compliance Officer * Carrying out the monitoring of adherence to the firm's compliance and risk policies and relevant procedures and preparation, and maintaining compliance programme materials * Interacting and working with other areas within the firm to monitor risk, as necessary * Keeping abreast of regulatory changes, new regulations and internal policy changes * Maintaining and updating the company's risk register, and assist with the design, implementation and testing of appropriate controls * Liaising with external Compliance consultant where appropriate * Additional duties as assigned Essential skills / criteria: * Knowledge of compliance laws, rules, regulations, risks and typologies applicable to financial services * Must be flexible, innovative and adaptable * Strong interpersonal skills and the ability to work collaboratively with people at all levels of the organisation * Strong written and verbal communication skills * Advanced analytical skills * Organisational skills and ability to handle multiple projects at one time * Proficient in MS Office applications (Excel, Word, PowerPoint) * Demonstrated knowledge in area of focus Desirable skills / criteria: * Knowledge of My Compliance Office helpful * KYC / Onboarding experience Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: gb/en/privacy-notice Security alert: scammers are currently targeting jobseekers. Robert Half do not ask candidates for a fee or request candidates to send applications through instant messaging services such as WhatsApp or Telegram. Learn how to protect yourself by visiting our website: gb/en/how-spot-recruitment-scams-and-protect-yourself

Compliance Associate One of our clients, a corporate financial investment house, who are based in London are currently looking for a Compliance Associate to join their team. You will have gained 5-8 years’ experience within a similar role and have come from ideally an asset management/investment background. You will be highly educated and be able to deal with people at all levels. Main duties and Responsibilities:- •` Assisting with Compliance Monitoring Program Assisting the CCO with compliance reportsReviewing all marketing material and ensuring all financial promotions are complaintConducting sample checks on KYC files and oversee the KYC providerReviewing, updating and maintaining compliance policies, manual and procedure documentsEnsuring compliance with regulatory developments affecting the firm, implementing updates to systems & controls and training staff accordingly where required.Updating and maintaining compliance registers; including AML/SAR's, Breaches, Conflicts of Interest, Financial Promotions, PAD, STR/STOR's, Gifts and Entertainment.Assisting in the preparation of annual MLRO and CO reports to the board.Ensuring regulatory reporting and filling is complete acutely via RegData and ConnectDealing with compliance queries as and when they arise; including co-ordinating compliance inbox.Co-ordinating staff training programme and maintaining training records;Implementing Complysci PlatformAssisting with GDPR project/documentsAssisting with there parent company reporting Chaperoning expert callsConducting email, team and phone monitoring Skills and Experience:- More than 6 years’ experience in a relevant Compliance position. Understanding of AIFMD, MiFID and other European marketing regulations very desirable.Strong attention to detail and analytical skills.Strong drafting and organizational skills.Ability to communicate confidently and effectively.Ability to work independently while remaining a strong team player.Substantial initiative, creativity and drive.Knowledge of ComplySci Platform This role will be based in the office 3 days a week.

Equifind have teamed up with an exciting digital FX business in London, who are looking to add a compliance manager to the team. The business has grown considerably over the past few years due to high demand and market growth, so you have a chance to join a fantastic working environment where everyone has a voice to create a collaborative culture. We are looking for a compliance manager, who is ready to take the next step in their career and aiming to be SMF16 for the business. If this is you, then please reach out to us. Key duties and responsibilities for this compliance manager position include: Assist the current SMF16/17 on liaison with the regulators and the NCAResearching regulations and legislations; acting as advisory support to the Head of CompliancePreparation and review of documentation for high-risk clients, escalating to the MLRO as requiredAssisting with review and investigation of internal SARs and STORsMonitoring and completion of ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handlingMonitoring of transactions in respect of AML and MARAssisting with any regulatory matters, including AML/CDD, MAR, MiFID II, SMCR, PRIIPsManage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal policies.Complete due Diligence checks on potential clients to identify and mitigate risks associated with AML and KYC regulations. Verify client information and perform background checks using internal and external data sourcesStay up to date with relevant regulatory compliance requirements and industry best practices. Ensure compliance with AML/KYC regulations and implement necessary procedures to mitigate potential risksWork closely with the wider compliance team in the group to ensure a smooth onboarding experience for clients.Maintain accurate and up-to-date client records, including all relevant documentation and correspondence. Ensure proper filing and storage of client information in accordance with data protection and privacy regulations. Experience & Qualifications 5+ years’ practical experience in a compliance positionStrong understanding of client onboarding, AML and KYC regulations, with a proven ability to conduct thorough due diligence and identify potential risks.Knowledge of foreign exchange and cryptocurrency markets would be a big plusExcellent communication and interpersonal skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectivelyProficiency in using CRM systems, trading platforms, and other relevant software applicationsSignificant knowledge of FCA industry standards, regulations, and anti-financial crime matters About the business A new player in the global financial services space with a strong focus on both the traditional and digital offerings. The company has an exciting management team that has a proven track record in the brokerage sector. The business has a strong focus on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer experience. With multiple offices across the Europe, you will be joining a business in the growth phase and work closely with multiple stakeholders across the business, on a regular basis. You will take on all the senior compliance duties for the London office, as well as the managing the entire onboarding process. This is a real generalist role. Salary This exciting opportunity for a compliance manager will ideally start as soon as possible but we will look at all level of candidates on notice periods. We will be looking at candidates in the range of £70k-£90k depending on individual backgrounds, qualifications, and years of experience. This is a hybrid opportunity and three days per week in the office is required.