Compliance Associate (Financial Services)

Compliance Associate - Financial Services Sector

Our Client operates out of multiple locations including Leeds, London, Dublin and Luxembourg, with £75bn of assets and circa 500 people, they are now looking to recruit a permanent Compliance Associate for the Leeds office.

As part of a small team of four, reporting into the Product Management Manager, you will review and maintain Collective Investment Scheme (CIS) documentation, such as Fund Solutions authorised schemes’ documentation, on a periodic basis to ensure that all documents are up-to-date, consistent and meet the regulatory requirements of the FCA’s COLL sourcebook.

On a day-to-day basis, the role will incorporate the following:-

  • Working closely with other internal stakeholders, such as the Product Delivery team, their Investment Management Supervision team, the Legal Department and the Compliance team.

  • Assist with the liaison between relevant trustees or depositaries and the FCA on changes to documents.

  • Assist with changes to UK-authorised CISs (Collective Investment Scheme) wind-ups or terminations in-line with the requirements of the FCA’s Collective Investment Schemes COLL Sourcebook.

  • Reporting also forms part of this role, as you will help put together the Fund Solutions monthly report and other reports following approval and sign-off by senior management.

    The ideal candidate will have:-

  • Excellent communication skills - both written and verbal
  • A strong attention to detail
  • Team orientated approach
  • Innovative outlook, with the ability to look for change/continuous improvement and have the ability to work to deadlines.
  • Be able to deal with a high-volume workload and have very good interpersonal skills as you will be liaising with internal and external stakeholders.
  • Experience of working in an FCA-regulated firm in the financial services industry.

It would be desirable if you had the following:-

  • Project management experience
  • Knowledge of the FCA regulatory requirements applying to regulated financial services firms in the UK
  • Some knowledge of the FCA regulatory requirements applying to FCA-authorised Collective Investment Schemes
  • Legal skills would be helpful for reviewing documents and maintenance of policies to FCA rules

If you would like to apply for this role, please forward your details clearly outlining the required skills and experience. If shortlisted, you will be expected to attend our offices based in Cleckheaton to register before being submitted to our client.

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Required skills

  • Compliance
  • Financial Services
  • Legal
  • Collective Investment Schemes

Application questions

Do you have experience of working within a regulated environment?
Do you have experience of Collective Investment Schemes?
Do you have Maths and English GCSE at C or above?

Reference: 34482977

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