Compliance Associate

£23,000 to £25,000 Per Annum
Contract Type:

Do you have compliance experience and are looking for a new challenge? 

Have you worked in financial services? 

Our client is a busy financial services organisation with a diverse client database, looking to take on a Compliance Associate to assist the Compliance manager with regulatory processes and procedures. 

We are looking for someone with experience in Compliance-related work and 1-2 years of experience in a financial services, or a similar role. We are also looking for someone who is highly motivated and results oriented. 

The role will be working within a busy office and involves the following duties - 

To provide a business friendly and approachable compliance service to the business teams whilst maintaining the necessary independence from these same teams 
Work with the business to undertake the programme of compliance monitoring activities and following up on agreed actions 
Review and monitoring of client files to asses client ‘Suitability’ 
Assist the Compliance Manager with the identification, resolution and recording of any errors and regulatory breaches and informing the correct bodies 
Assist the Compliance Manager with the resolution and recording of client complaints 
Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications 
Maintain and manage all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date 
Assist the Compliance Manager with the application, maintenance and evaluation of the compliance policies and procedures within the office 

The package includes a salary of up to £25,000 DOE plus company benefits - please note no parking is available on site although lots of car parks are available locally.