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Compliance Associate

Posted 2 February by MERJE Ltd Easy Apply Ended

Our client is a well-respected financial services organisation looking for a Compliance Associate to assist the Compliance Manager in the day-to-day running of the compliance activities

The role will focus on-

  • SIPP client file audits
  • Undertaking ongoing compliance
  • Maintaining Terms of Business with Advisers and Investment Providers
  • Dealing with requests and queries received from Regulatory and law enforcement authorities.
  • Liaison with other Group offices.
  • Maintaining compliance records.
  • Providing compliance support to Management, Administration, Sales and Intermediary teams.
  • Supporting the Compliance Manager to deliver Money Laundering, Data Protection and general compliance training to colleagues and contribute to an effective Compliance culture within the business.
  • Executing assigned projects in line with the UK Compliance plan and on an ad hoc basis.
  • Assist in the development and ongoing review of in-house controls and compliance policies and procedures, thereby ensuring operation within regulatory requirements.
  • Support the Compliance Manager in monitoring regulatory updates and guidance from the FCA and support the team in providing concise and informative summaries to the business.
  • Support the investigation of regulatory complaints in accordance with DISP and maintaining the complaints register.
  • Maintain the breaches register and report accordingly.
  • Assist in the client due diligence process and the recording of suspicious transactions.

Key Requirements-

  • The ideal candidate will have proven experience within the UK Financial Services industry for at least 3 years, preferably with a Pensions provider.
  • Awareness of compliance impacts on business, ideally gained within pensions sector
  • Understanding of Client Money and Asset Rules
  • Awareness of UK Pensions Compliance and the FCA handbook and associated regulations/legislation

Reference: 34380783

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