Compliance Associate

☞ ST Resourcing Ltd

View: 107

Update day: 07-05-2024

Location: Wilmslow North West

Category: Finance / Bank / Stock Sales

Industry: Staffing Recruiting Financial Services Investment Management

Position: Entry level

Job type: Full-time

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Job content

ST Resourcing are delighted to once again be recruiting for an established Chartered Wealth Management firm based in Cheshire who has an excellent opportunity for a Compliance Associate to join their expanding team. Salary up to £38,000 plus industry leading benefits, this package is flexible for the right person.

The client requires a candidate who has experience of working within the financial services arena and in particular Best Practice. Ideally with experience of file reviews and all this entails and the ability to handle an ever changing and dynamic working environment as well as having a fantastic eye for detail.

As part of your role, you will be involved in some or all of the following areas dependent on experience:
  • Conduct file reviews to ensure suitability of advice and adherence with regulatory requirements and internal policies.
  • Work with all areas of the business to embed the culture of Best Practice and Treating Customers Fairly.
  • Where required, challenge existing policies and procedures.
  • Assist the Head of Best Practice with the review of financial promotions.
  • Assist in development/update of policies, procedures and regulatory documentation.
  • Maintain in-depth knowledge of regulatory standards considering changes in regulation and legislation.
  • To perform other tasks as appropriate to the proper execution of the responsibilities of the role of a Best Practice Associate.

The Ideal Candidate Will
  • Have attained or will be working towards Diploma level 4 or related qualification.
  • Have strong product technical skills and the ability to apply them.
  • Have knowledge and experience of regulatory compliance.
  • Have understanding of regulatory rules and standards.
  • Be able to demonstrate skills around attention to detail and accuracy.
  • Be a self-starter who embraces responsibility and can manage own time.
  • Have excellent communication skills and personal presentation skills.
  • Have the ability to recognise and assess thematic areas of concern and discuss these with the Best Practice Team.
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Deadline: 21-06-2024

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