Compliance Associate

Detailed Job Description

Due to expansion, our innovative online share dealing client is looking for someone to join their well established team. Designed to bring the stock market to a new interface, this highly successful company is building on their already extensive product-base to bring the stock-market to an even wider audience.

The Role
Working as a key member in a small team reporting into The Compliance Manager the main responsibilities will include:

* Assisting the Compliance & Legal Services Manager in the day to day running of the Department.
* Ensuring compliance with all aspects of the routine Compliance Monitoring Programme.
* Carrying out periodic reviews and control tests including; fund accounting, fund administration, and external fund managers.
* Investigating and responding to all formal complaints from clients and, where appropriate, liaising with the Financial Ombudsman Service.
* Participating in the delivery of compliance training workshops for new staff and ongoing development of the Procedures, Compliance and Controls Manual.
* Assisting in the review of financial promotions and Maintaining FSA Source Books.

Whilst being able to meet the above criteria, you will have a sound understanding of COLL and fund administration.

The benefits
This is an exciting and unique opportunity to join a fast-evolving area of share distribution. With a competitive salary of £40,000 this role is an excellent opportunity for someone who is looking for a progressive venture within stock market Compliance.

FSWI1002-95 Compliance Associate is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

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