Senior Compliance Associate - London, United Kingdom - Bear Consulting (UK) Ltd

Bear Consulting (UK) Ltd

Verified Company

London, United Kingdom

4 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Do you have around - 5 years plus compliance experience in an FCA regulated firm?

Do you have good knowledge of FCA industry standards and regulations, along with knowledge of antifinancial crime related matters (ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance)?

Senior Compliance Associate

Global Investment Trading/Broker firm is going through a period of expansion due to an increase in client activity.

Our client, based in their City of London office, with hybrid working, is looking for a Compliance person to join the Compliance Team.

Senior Compliance Associate:

Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes.
Assist the SMF16/17 on liaison with the regulators and acting as advisory support to the Head of Compliance and the firm.
Take ownership of the compliance monitoring program covering all aspects of compliance (e.g., Best Execution, Onboarding, Complaints' handling, Consumer Duty, Product Governance, Outsourcing) and ensure timely completion in coordination with other team members.
Assisting with any regulatory matters, including ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance.
Assisting with management information (MI) and board reports.
Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements.