Senior Compliance Associate

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2019-11-27 17:08:021970-01-01Twenty84
Job TypePermanent Full Time
AreaLondon, EnglandLondonEngland
SectorRegulatory Compliance
Salary£30-35k + bonus, study support, benefits
Start DateASAP
Job RefQD-SCA561435
Job Views325
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.
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