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    Regulatory Affairs Officer - Leeds, United Kingdom - Link Group Service Company Limited

    Link Group Service Company Limited
    Link Group Service Company Limited Leeds, United Kingdom

    1 week ago

    Default job background
    Description

    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.

    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 be joining a network of experienced, innovative and dedicated individuals across multiple teams and countries. 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
    Employee Assistance Programme; Discounts on retail and socialising; Travel and technology; cycle2work scheme; Car Salary Sacrifice scheme
    Employee recognition programme
    Company Pension Scheme
    Life Assurance
    Medical Insurance
    Paid Maternity, Paternity, Adoption Leave, Shared Parental Leave

    The energy, drive and desire to work hard within a team to develop your skills and knowledge to support the business


    • 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
    • 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


    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 administer share plans for over 200 clients and have worked on more than 50% of UK IPOs since 2005.

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