Full job description A wealth management business is hiring a Compliance Associate to join its Compliance team. This is a generalist role suited to someone comfortable working across a broad range of compliance duties.
The ideal candidate will have around 12 months’ compliance experience gained within a similar
financial services business.
You’ll join a collaborative, friendly team that offers strong support and genuine opportunities to develop your compliance knowledge further.
Job Requirements
*Maintain internal registers (Insiders, Breaches & Incidents, Gifts & Entertainment, Personal Trades, Conflicts of Interest, Training)
*Design and run monitoring processes covering client/personal trades, transactions, communications and social media
*Manage online monitoring systems and liaise with providers on market abuse, insider dealing, best execution and vulnerable client issues
*Carry out ad hoc compliance reviews and assurance checks
*Develop and deliver training plans, including online and in-person sessions
*Handle internal and interdepartmental compliance requests
*Review and write compliance policies and procedures
*Process wall-crossing notifications and escalate STORs
*Produce regular MI reports and compliance data
*Support the wider team.
Unless otherwise stated, candidates must have the right to work in the UK.
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