Compliance Associate

THE COMPANY:

Our client is a well regarded and fast growing online retail brokerage and is currently seeking a compliance associate to join their team

THE RESPONSIBILITIES:

• Provide advice to the business
• Review of policies and procedures to ensure that they are in line with applicable requirements and internal processes;
• Compliance risk assessments and monitoring duties
• Assist in compliance related project work;
• Financial Promotions
• Assist in conducting implementation reviews;
• Responding to FCA requests as required;
• FCA submissions and notifications under the SMCR regime;
• Conduct compliance training
• Ad hoc generalist compliance duties

EXPERIENCE REQUIRED:

• Compliance regulatory experience ideally from a brokerage/retail environment or similar
• Understanding of FCA rules and regulations
• Strong communication, report writing and stakeholder management experience
• Knowledge of financial promotions desirable