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Compliance Associate

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Compliance banki mon
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 21/03/2018
Compliance Associate: 

An established investment bank in central London are looking to hire a compliance associate to join their small team. In this role you will report directly into the Head of Compliance and help to ensure that the firm complies with all of the regulatory requirements plasced upon it by all of the relevant authorites. You will also be the contact point within the firm for compliance queries from staff members.

RESPONSIBILITES:
  • Assit the compliance officer draft and implement a comprehensive, risk based compliance monitoring programme
  • Use the Compliance Monitoring Programme to implement and run monitoring on key risk areas of the business
  • Produce regular monitoring reports and management information for its use in presetations to senior stakeholders.
  • Produce management information for the Compliance Officer and the Board.
  • Maintaining and monitoring the computer based training system to ensure that all employees remain up to date with their compliance training.
  • Give ad hoc presentation to the board surrounding regulatory changes.
  • Maintain and monitor all regulatory and business policies, procedures and related manuals to ensure that they explicitly define procedures and control activities to ensure compliance with regulations.
 
Key Competencies:

 Possess thorough and accurate knowledge financial markets and the FCA
  • Have worked in a compliance function previously.
  • Ability to adopt new approaches in response to situational and personnel changes quickly and effectively.
  • Capable of making decisions under pressure.
  • Maintains excellent time management skills, always working proactively.
  • Keeps all records current and presented in an accurate, clear and concise manner.
  • Not constrained by tradition or convention; capable of thinking of new ideas or better ways to complete old tasks and prepared to implement the new solutions.
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