Job Title: Compliance Associate
Salary: Competitive and confirmed on application
- Company Pension Scheme
- Private Medical Insurance (if applicable)
- Voluntary additional life cover
- Critical Illness Cover
- Dental Insurance
- Medical Cash Plan
- Health Screening
- Motor Breakdown Cover
- Cycle to work scheme.
- Retail Vouchers
- Season Ticket Loans
About the role of Compliance Associate
Working under the management of a senior compliance professional to contribute to the delivery of an engaging and effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating in a compliant manner.
The current compliance team comprises a wealth of experience and is perfectly suited to a solutions-oriented candidate who is enthusiastic about developing, learning from experienced peers and crucially, and adding value from day one.
Responsibilities and experience required for the role of Compliance Associate
- Regulatory Change: Manage the review and associated administration of externally issued materials including client presentations, social media postings, commentaries, website content, financial promotions etc. to ensure compliance with relevant regulatory standards.
- Compliance Monitoring: Perform compliance monitoring reviews, as assigned, in accordance with the annual compliance monitoring programme.
- Advice: Provide real-time compliance advice to business personnel, with regards to the rules, regulation and internal policies that govern their businesses. For both new and existing products and services.
- Review and provide feedback to the business on breaches and incidents.
- Support the ongoing review and assessment of applicable regulatory and industry developments.
- Prepare compliance related management information for presentation and dissemination.
- Support the review, maintenance, and organisation of related compliance policies.
- Support the preparation and delivery of scheduled compliance training.
- Support other compliance-related projects, as assigned by the Head of Compliance.
- Required to comply with the FCA Conduct Rules applicable to all financial services employees.
Experience & Personal Attributes required for the position of Compliance Associate
- Minimum 3 years’ experience in financial services industry experience in a dedicated compliance role.
- Knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other regulators.
- Excellent verbal, written, and interpersonal communication skills.
- Attention to detail, well organised and an ability to interact and engage with employees at all levels.
- Ability to build and sustain solid working relationships.
- Report writing and time management skills,
- Good background in computer literacy and knowledge of Microsoft Word/Excel.
- Industry certification or continuing education in Financial Services Industry compliance is preferred, or a willingness to study.
- Educated to degree level, or similar relevant qualifications.
For more information regarding the role of Compliance Associate please contact us
Stellar Select is acting as an employment agency and is a corporate member of the REC.
Due to a high volume of applications, we will only contact you if your application has been successful.
We aim to contact all successful contacts within two business days.