A Wealth Management business is looking to recruit a Compliance Associate to join their Compliance Monitoring team. The role will work within a close-knit Compliance Monitoring team which is part of the broader Compliance function. Ideal opportunity for an individual looking to make that next step within a solid buy side business.
Main Responsibilities
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
- Agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns.
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
- Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities.
- Assist in training and educating the business on compliance matters of relevance.
Job Requirements:
- At least 12 months Compliance Monitoring experience, ideally within an Asset or Wealth Management firm.
- Suitability of Advice experience, preferable.
- Good knowledge of the FCA handbook, in particular CASS and COBS.
- Excellent IT skills.
- Strong communication skills, comfortable working with all levels of staff across the business.
- Professional qualifications, preferable.
Unless otherwise stated, candidates must have the right to work in the UK.
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Apply for this role through this job post or email an application to jobs@clarcrecruitment.com
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