Compliance Associate
Wealth Management firm (HNW clients)
London - Hybrid working (3 days in office per week)
£45K-£55K
Role and Responsibilities:
* Supporting and managing monthly, quarterly and annual compliance monitoring reviews.
* Report writing of monitoring reviews and the management of tracking actions until completion.
* Supporting and managing review of financial promotions and other marketing presentations and materials.
* Manage ongoing third-party due diligence requirements.
* Supporting and managing periodic FCA filings: FCA RegData (monthly/quarterly/annually); and FCA Connect (ad hoc)
* Assisting with SM&CR requirements
* Assisting in preparation of training material relevant to key regulatory updates.
* Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly)
* Maintain registered e.g Conflicts of interest Register/Log, etc and related documentation.
* Collation of documents/information to support monthly, quarterly and annual regulatory filings.
* Management of Compliance Calendar and follow through on actions required by team.
* Supporting on annual review of firm's compliance policies.
* Assist with ad hoc projects and tasks, as required.
* Ensure that your personal conduct complies in all respects with the Individual Conduct Rules prescribed by the FCA in the Code of Conduct for Staff Sourcebook, namely:
1. You must act with integrity
2. You must act with due care, skill and diligence
3. You must be open and cooperative with the FCA, the PRA and other regulators
4. You must pay due regard to the interests of customers and treat them fairly
5. You must observe proper standards of market conduct
Experience Required
* The candidate should have strong experience, ideally within an Investment/wealth management firm, demonstrating a solid understanding of the UK regulatory regime, which provides a good foundation across all aspects of general compliance obligations (FCA Handbook, Money Laundering Regulations, JMLSG)
* Some knowledge of US SEC obligations would be beneficial but not mandatory.
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