Compliance Associate - City of London, United Kingdom - Davies Resourcing
Description
My client is a well established, well respected leading Independent Financial Advisors and DFM with an Ultra High Net Worth client base.
Due to the business growing a new Compliance Associate is sought to join the team.The role will involve:
- Playing an important role within the team in ensuring the business are compliant with relevant legislation and procedures, maintaining effective systems and controls to mitigate business risks
- Help to maintain a collegiate relationship with both the Advisers and support staff to foster a positive approach to compliance across the company.
- Assist in conducting and implementing a strategic business review to enhance best practice in the compliant operations of the firm
- Assist in carrying out induction training for new staff
- Carry out new business checks and ongoing file reviews and provide advice and feedback to the Advisers and support teams also ensuring any remedial action is completed
- Provide support in monitoring effective systems and controls to counter Money Laundering and Financial Crime risks
- Maintain accurate reporting, up to date and detailed compliance records and registers
- Check and maintain the Financial Promotions records
- Assist in any complaints handling and investigations
- Assist with Regulatory returns
Experience of client suitability and file reviews is an advantage
The ability to work as part of a growing team with strong organisational skills such as prioritisation and ability to work under pressure and to strict deadlines.
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