Compliance Associate

  • Competitive
  • London, England, United Kingdom London England GB
  • Contract, Full time
  • Equatex UK Limited
  • 01 Aug 18 2018-08-01

Type: Contract (Maternity Cover). This position encompasses the group’s daily operations in UK regulatory Compliance, monitoring and reporting, that support Global Compensation Plan products offered to international Corporate Clients. UK Compliance support spans from operational to strategic including UK complaint handling, operational record keeping and documentation, systems and controls as well as the management of UK financial crime KYC/DD requirements. The Compliance Associate provides vital support to the Head of Compliance to manage systemic regulatory risk and quality management

Job description and responsibilities

The position encompasses the group’s daily operations in UK regulatory Compliance, monitoring and reporting, that support Global Compensation Plan products offered to international Corporate Clients. UK Compliance support spans from operational to strategic including UK complaint handling, operational record keeping and documentation, systems and controls as well as the management of UK financial crime KYC/DD requirements. The Compliance Associate provides vital support to the Head of Compliance to manage systemic regulatory risk and quality management. 

Key tasks of this role include:

  • Manage the Complaint Handling process for the UK business
  • Manage and conduct bilateral KYC/AML checks of new and existing clients as part of the on-boarding process, as well undertaking KYC/AML on behalf of ourselves Equatex UK with our banking partners
  • Provide support and assistance to the Head of Compliance in a range of Compliance topics (Call recording reviews, monitoring program…)
  • Devising and carrying out training material for staff Compliance training on regulatory matters
  • FCA registration and de-registration as well as administration of the exam and training bookings where necessary
  • Assisting with the updating of Compliance policies and procedures
  • Undertake a range of ad-hoc compliance tasks and projects (MifidII/SMCR…)
  • Assisting with the preparation of Compliance Committee minutes and project working group minutes
  • Dealing with ad hoc day to day enquiries from the business and administering any team mailbox
  • Monitoring UK and EU regulatory developments and best practices
  • Assist with creating the monthly MI, enhancing effectiveness where necessary
  • Maintaining and administering Compliance records
  • Undertake any other duties as required by the Head of Compliance and other Senior Management as may be required from time to time

Requirements:

  • Analytical
  • Organised
  • Self-motivated
  • Resilient
  • Adaptable

Preferred Qualifications:

  • 2-3 years Compliance department experience
  • Solid, demonstrable understanding of the UK regulatory framework (COBS/SYSC/DISP)
  • Prior experience and understanding of the financial markets
  • Able to undertake project based requirements alongside daily workloads

 Contract Details:

  • Position Location: London
  • Work contract: Permanent, 100%