Senior Compliance Associate - Leading Financial Services firm

MEWOOL

Buks

£45k + benefits

Senior Compliance Associate - Leading Financial Services firm

• Assisting the Compliance & Legal Services Manager in the day to day running of the Department.
• Specific responsibility for ensuring compliance with all aspects of relevant regulation, active involvement with, and timely completion of the routine Compliance Monitoring programme, involving periodic reviews and control tests on all areas of the business (including fund accounting and 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.
• Maintaining and upholding the principles, rules and codes of conduct contained in the FSA Source books.
• Advising and liaising with all staff in relation to compliance matters and the promotion of a compliance culture throughout the firm.
• Assisting in the review of financial promotions.

Candidate:

• A couple of years working within a compliance team or compliance related environment.
• Good understanding of financial markets and products and FSA regulations
• Understanding of FSA's COLL sourcebook and fund accounting procedures
• Any relevant compliance qualifications would be beneficial but not essential.

If you wish to learn more about this role please send your resume to ewacher@jmagill.com or tdannatt@jmagill.com

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