Compliance Associate

  • Job Reference: 13018
  • Date Posted: 31 March 2021
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: £40,000 to £50,000
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email:

Job Description

The Role
To assist the Head of Compliance with the delivery of a range of compliance initiatives to create a strong compliance culture
Assist all members of the Compliance Department in the delivery of all compliance activities 
Assist with ensuring compliance with all relevant local legislation and regulations.
Assist the MLRO and DMLRO in all aspects of the Company’s AML management programme
Assist with the development and maintenance of the Compliance Manual and other compliance related policies and procedures.
Assist in the review and sign off financial promotions.
Assist the Compliance Manager to manage client complaints in accordance with FCA guidance.
Assist and maintain the breaches, complaints, gifts and entertainment and conflicts of interest registers and policies.
Assist to provide advice and challenge to key stakeholders on the identification and management of conflicts of interest.
Assist in ensuring all employees are provided with appropriate training 
Keep abreast of all regulatory developments
Responsible for assisting the Compliance Manager communicate regulatory developments and updates to all employees.  
Assist with the design and implementation of a compliance monitoring programme.  
Conduct monitoring across all business units in accordance with the compliance monitoring plan.
Assist the team to draft appropriate board and other committee reports
Assist with the production of responses to FCA information requests, assisting with regulatory reviews and visits.
Responsible for identifying the requirements for and for making all Takeover Panel Disclosure Reporting, DTR reporting, SSR registrations and all other relevant reporting and registration requirements.
Administering the market soundings and insider’s process.
Assist with client-onboarding and account opening processes
STOR review of submissions from the business and submission to the regulator as well as analysis of STORs for training and KRI purposes.
Assist the team to review KYC in relation to transactions.
Provision of relevant MI to the Head of Compliance
Providing general support and assistance to all members of the Compliance Department.
Use of MAR system at previous vocation as this will be focus area
Knowledge and expertise in TCA monitoring
Account opening AML experience