- London, England, United Kingdom
- Permanent, Full time
- Lawson Conner
- 21 Mar 19
Based in the London office, the Compliance Associate will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance. Full training will be provided via Lawson Conner Academy
- Perform day to day Compliance Monitoring tasks following a Monitoring Plan
- Assist in reviewing client systems and controls in respect of conduct risk and business risks
- Conduct file reviews and special compliance projects
- Undertake monitoring reviews and investigation of breaches
- Review and approve financial promotions
- Draft compliance monitoring reports
Technical Skills & Qualifications:
- A-level and Bachelors degree preferred (Economics, Law, Business)
- Strong communication skills, written and verbal
- 3 years experience within an FCA regulated services firm, within a Compliance function
- Excellent client facing skills and interpersonal communication skills
- Excellent user of Microsoft Office
- Experience of working to tight deadlines
- Strong organisational skills
- Excellent communication skills both written and spoken
- Desire to work in an dynamic, fast-growing company environment with bluechip clients
This is an exciting opportunity to join a fast growing organisation with a highly motivated and client focused team that has been awarded B2B Business of the Year at the Amazon Growing Business Awards 2017/2018.
The successful candidate will be offered a competitive salary, benefits package and a bonus.
Lawson Conner (part of SGG Group) is an award winning investment manager platform and compliance service provider. The firm has been voted “B2B Business of the Year” at the Amazon Growing Business Awards 2017/2018 competition. All of Lawson Conner’s compliance products are supported by its market leading compliance software suite MaxComply.
SGG Group is a leading global investor services firm providing a comprehensive range of compliance, administration, asset and advisory services to alternative investment funds.