Compliance Associate

Posted 5 February by Link Asset Services
Company Description

We are part of Link Group, a leading global provider of financial administration solutions. As one of Europe’s leading asset servicing platforms, Link Asset Services interacts with almost 6m investors, administering and safeguarding £600bn of assets across 10 highly regulated markets.

Job Description

Link Asset Services currently has a fantastic career opportunity available for a Compliance Associate to come on-board at our office in Beckenham. This would be a great opportunity as an entry level role into the world of compliance but is equally suitable for existing compliance associates.

The purpose of this role is to create and maintain a compliance culture within the business, not merely for the benefits it gives, but also for the long-term commercial benefits that flow from running the business ethically and
compliantly. The team is responsible for ensuring the business complies with all regulatory and Anti- Money Laundering ('AML’) requirements for Link Shareholder Solutions.

What being a Compliance Associate involves:

  • Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident registers.
  • To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules
  • Monitor and assess all compliance breaches and incidents
  • Undertake sanctions and other searches in accordance with ad-hoc law enforcement requests and regulatory expectations
  • Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes
  • Help maintain the Compliance manual and internal policies
  • Respond to appropriate Compliance and AML queries internally
  • Complete and submit reports/registers/returns to various parties (including senior management)
  • Oversee/manage the Compliance 'inbox’, to assign approvals/referrals and approve allocated marketing and advertising to ensure such items comply with the FCA requirements on Financial Promotions and Treating Customers Fairly principles
  • Monitor the Regulatory Calendar on an on-going basis and complete tasks assigned
Qualifications

Skills and Qualities you will need:

  • Experience in working in a FCA regulated environment
  • Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
  • Excellent communication skills - both written and face to face
  • Proactive and solution focused
  • Applies sound analytical thinking
  • Law degree is desirable

Reference: 34399457

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