- The energy, drive and desire to work hard within a team to develop your skills and knowledge to support the business
- Excellent written and verbal communication skills with the ability to interact with stakeholders of all levels internally
- Great attention to detail, well organised and the ability to work as an integral member of the team
- The ability to build and maintain relationships and support others within the business
- Good report writing and presentation skills, in addition to excellent time management skills
- An ability to exercise independent judgement and discretion whilst performing your duties
- Experience within a compliance role in the Financial Services industry would be great and if you have registry experience, that would be even better
- Knowledge of regulatory requirements would be advantageous, but we will support you with training and development
- Manage the review and associated administration of externally issued materials, including client presentations, social media postings, website content and financial promotions to ensure compliance with relevant regulatory standards
- Perform compliance monitoring reviews in accordance with the annual compliance monitoring programme
- Provide real-time compliance advice to the business with regards to the rules, regulations and internal policies that govern their part of the business for both new and existing products and services
- Reviewing and providing feedback to the business on any breaches and incidents
- Preparing compliance related Management Information for presentation and dissemination
- Supporting any compliance-related projects as assigned by the Head of Compliance
- Ensuring you comply with the FCA Conduct Rules applicable to all financial services employees
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Compliance Associate - Leeds, United Kingdom - Link Group Service Company Limited
Description
Overview:
We're looking for a Compliance Associate to join the team, reporting to a Compliance Manager and working on a hybrid basis from our stunning city centre office in Leeds, so you'll need to be within a commutable distance for the days you're in the office. You'll need to add value from day one, learning from the team and wanting to enthusiastically develop your knowledge and career. You should be solutions-orientated, enthusiastic about developing and learning from experienced peers.
As a Compliance Associate, you will contribute to an effective compliance culture through the delivery of risk-based compliance monitoring, providing advice and guidance and ensuring that the business is operating in a compliant manner.
You'll get the chance to follow your chosen career path anywhere in Link group. You'll be joining a network of experienced, innovative and dedicated individuals across multiple teams and countries. There are countless opportunities to learn new skills and develop in your career and we'll provide the support you need to do just that.
Benefits:
26 days annual leave, plus a wellbeing day, a volunteer day, bank holidays and the opportunity to buy up to 5 days' extra each year
Health, wellbeing and lifestyle rewards that can be tailored to support you and your family. Everything from: Employee Assistance Programme; Discounts on retail and socialising; Travel and technology; cycle2work scheme; A host of gym and fitness subscriptions; Car Salary Sacrifice scheme
Appreciate programme: Employee recognition programme
Company Pension Scheme
Life Assurance
Medical Insurance
Paid Maternity, Paternity, Adoption Leave, Shared Parental Leave
What you need:
Must have's:
As with any role, we want to find the right person and we want to make sure you know it's the right role for you too. This means you'll really need:
You will:
Link Group works in partnership internationally with almost 7,000 clients including asset managers and investors, business managers, asset owners, trustees, issuers and borrowers. We provide the infrastructure through which assets are secured or deployed in both regulated and unregulated markets.
We offer industry-leading shareholder services through Link Market Services to a wide range of corporates, issuers and business managers. We are the largest UK share registrar providing services to more than 1,300 companies large and small across the UK.
We administer share plans for over 200 clients and have worked on more than 50% of UK IPOs since 2005. Our unique place in the market, combined with our partnership and relationship management approach, enables us to play a vital role in connecting issuers with 5 million shareholders around the world
