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
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
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