Senior Compliance Assocaite

As a result of continued growth our client has a newly created position for an experienced compliance specialist to join their team.

Reporting to the Compliance Manager, specific responsibilities include:

• Assisting in the day to day running of the Compliance Department
• 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 (including fund accounting and fund administration) and external fund manager.
• 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

You:

The successful applicant is likely to have experience of compliance in a similar fund management or TPA environment with a good understanding of the FSA's COLL sourcebook and fund accounting procedures. A proactive approach coupled with excellent organisational and communication skills are essential.

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