Compliance Coordinator Pt/ft Wfh - Leeds, United Kingdom - rebuildingsociety

Description

The
Compliance Coordinator is responsible for monitoring the firm's day-to-day operations to ensure we meet the compliance requirements in accordance with the firm's policies and processes.

• CASS
• Maintains daily 2nd line oversight for rebs and ARs
• Ensures all records and withdrawals are accurate
• Creates CASS Monthly Board reports
• Helps review policies/processes related to CASS
• Creating and implementing communications calendar
• Financial Promotions
• Approves Financial Promotions for the company
• Spot check social media, sites, and telecoms to ensure compliance
• Does Annual review and creates board report of Financial Promotions
• Anti-Money Laundering
• Daytoday review of notable transactions
• Carryout regular AML and PEP spot checks
• Review and report on record keeping, policies, and systems
• Financial Resources
• Conducts review management accounts of Distributors
• Assess as a going concern
• Review fundraising plans
• Review year end accounts and draft board report
• Other
• Assisting in drafting/proofing policies and processes
• Contributing to blog posts and other marketing material

• Accreditation with the International Compliance Association or CISI
• Working towards relevant industry compliance qualifications
• Degree educated or minimum of 2 years' experience in a Compliance role
• Analytical thinker with strong conceptual and problemsolving skills
• Meticulous attention to detail with the ability to multitask
• Ability to work under pressure and meet deadlines
• Ability to work independently and as part of a team
• Excellent documentation, communication and IT skills