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Compliance Associate (Financial Crime), Surrey

Posted 6 March by Yes Agency Ended

Our Client a UK wide brokerage is seeking a Senior Compliance Associate to assist the Financial Crime Team in delivering a range of compliance solutions to its clients. The individual will have experience of dealing with financial crime compliance which may include customer due diligence, risk assessments, bribery and corruption processes and fraud detection. The Senior Compliance Associate will also need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active.

Key Responsibilities:

• Review and analyse client documentation to a competent standard whilst applying legal and regulatory frameworks;

• Providing support for FCA direct authorisation applications;

• Liaise directly with clients to assist with technical questions and provide support with the applications;

• Compilation of reports on request;

• Undertaking Financial Crime projects as required;

• First point of contact for firms;

• Writing audit reports with reasonable level of support;

• Undertaking assisted client visits moving towards unassisted visits;

• Providing general administrative support to the Financial Crime Team;

• Generating and reviewing MI on a regular basis, highlighting any trends with a course of recommended action to Management;

• Keeping up to date with the FCA and Industry sources to assist with providing the firm with regular updates;

• Recognition and escalation of issues to appropriate consultant/management;

• This role is not limited to the above duties, due to the nature of the role you will need to be adaptable and open to change in this position. Competencies: Behavioural

• Written communication skills: should have the ability to draft written communications and documentation in an articulate way and to a high standard;

• Commercial awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance;

• Commitment & enthusiasm: should have a desire to see the firm succeed; • Embraces change: should be adaptable to the changing requirements of the regulations and be keen to develop new skills;

• Verbal communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the regulations;

• Personal credibility: must be able to establish and maintain trusting relationships with others;

• Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others;

• Individual working: must be able to work under own initiative identifying when referral needs to be made;

• Pro-active: must actively seek other tasks if they have successfully completed those which have been allocated. Technical

Technical skills:

Ideal candidates should have a working knowledge of Anti-Money Laundering, Counter Terrorism, Anti-Bribery and Fraud. Ability to apply a risk-based approached to applying knowledge;

• Problem solving: demonstrates an ability to solve problems in a rational manner; • Attention to detail: all work must be completed with the focus on quality;

• Application of regulation: must gain and maintain a good understanding of EBA, HMRC & FCA regulation and be able to apply this to the business requirements of the firm;

• Understanding: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice;

• Planning & organising: organises and plans effectively;

• Time management: must be able to prioritise and manage time and tasks effectively; this includes a readiness to delegate where possible.

Experience/Qualifications • Recent and relevant experience in a financial crime role desirable;

• Broad base of compliance knowledge including understanding/knowledge of the rules surrounding Financial Crime;

• Good understanding of other relevant legislation;

• Be numerate, articulate, and analytical and competent with all Microsoft packages;

• Good attention to detail and be highly organised;

• Ability to be able to work to deadlines;

• Excellent verbal and written communication skills.

For more information on this role, please contact The Yes Agency. The Yes Agency is a registered insurance recruitment agency based in Manchester. Please note due to the amount of applications we receive, if you do not hear back from us within two weeks, then unfortunately on this occasion your application has been unsuccessful. For similar roles within insurance, please check out our website at

Required skills

  • Compliance
  • Financial Crime

Reference: 34254163

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