As an award winning Chartered wealth management company, Equilibrium require an experienced Compliance associate to assist with our ever growing compliance requirements.
The ideal candidate will be responsible for the analysis of file reviews, making recommendations to the Compliance manager, based on findings.
We require someone who has experience of working within the financial services arena and in particular investment support such as compliance or paraplanning. Ideally you will have experience of file reviews and all this entails and can handle an ever changing and dynamic working environment. The ideal candidate will have a good background and knowledge of compliance in a financial services environment, and will demonstrate a keen eye for detail.
This role requires someone who has attained, or is working towards Diploma Level 4 (or similar) and who will be able to complete tasks in line with the Equilibrium timeframe.
Key Role Responsibilities:
The ideal candidate will be involved in some or all of the following areas dependent on experience;
- Conduct file reviews to ensure suitability of advice and adherence to anti-money laundering procedures
- Work with all areas of the business to embed the culture of good compliance, risk practice and TCF
- Where required, challenge existing policies and procedures for Compliance Best Practice
- Reporting progress to the Compliance Manager on a monthly basis, raising issues as appropriate and seeing those issues through to resolution
- Escalate any serious concerns, as per the Compliance Monitoring policy and methodology, in a timely manner.
- Reviewing advertising/marketing literature to ensure compliance with relevant rules and legal requirements
- To perform other tasks as considered appropriate to the proper execution of the responsibilities of the role of Compliance Analyst
- Assist in development/update of policies, procedures and regulatory documentation
- Assist in preparation of monthly MI and preparation of annual reports to the regulators
- Maintain in-depth knowledge of regulatory standards taking into account changes in regulation and legislation.
Essential Experience and Skills:
- Attained or working towards Diploma level 4 or related qualification
- Strong product technical skills and the ability to apply these
- Proficient knowledge and experience of regulatory compliance
- Detailed understanding of regulatory rules and standards.
- Proven track record of meeting multiple objectives with evidence of a commitment to attainment of good practice
- Demonstrable skills around attention to detail and accuracy
- A self-starter who embraces responsibility and can manage own time
- Excellent oral and written communication skills and personal presentation skills
- Ability to recognise and score compliance risk, adjusting the intensity of compliance monitoring as appropriate;
- Demonstrate resilience and flexibility in a demanding and fast paced environment
In return you will be rewarded with some of the very best benefits packages in the industry as well as a competitive salary. You will be encouraged to learn and improve your skill sets in a very relaxed but professional working environment.
If you believe you can be an asset to our award winning business and want to work in a positive and inclusive environment then please do not hesitate to send your cv to [email protected]
