Senior Compliance Associate
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Job Type | Permanent Full Time |
Area | London, England |
Sector | Regulatory Compliance |
Salary | £30-35k + bonus, study support, benefits |
Start Date | ASAP |
Advertiser | Twenty 84 |
Job Ref | QD-SCA561435 |
Job Views | 325 |
- Description
- Reputable compliance consultancy based in the City is looking for a Compliance Senior Associate to join the team covering their investments, asset management, wealth management MiFID2 regulated clients.
This is a fantastic opportunity to get more exposure to a variety of clients and expand your compliance and investments experience:
Assisting to draft applications for FCA authorisation and variations of permission for MiFID firms
Point of contact for firms, liaise directly with clients to assist with compliance related questions and provide support with their applications
Undertaking supported client visits and file reviews /compliance audits
Assisting with reviewing Financial Promotions
Undertaking a check the checker role, providing a referral point to newer colleagues
Compilation of reports on request
Undertaking specific projects as required
Writing audit reports with a reasonable level of support
Assisting with the development of compliance policies and procedures
Keeping up to date with FCA regulatory rules, particularly for MiFID firms
To apply for this role you should either have exposure to investment management firms or products from a compliance, file review, or Financial Ombudsman / regulatory type position and now wish to broaden your compliance experience. You may have relevant compliance qualifications such as CISI, ICA or ACAMS and should have good written skills.
This will be a very interesting position offering a huge amount of exposure to the Compliance Consultancies’ varying clients and regulatory compliance work.