Purpose of the role:
You will conduct compliance monitoring activity and act as advisor to the business and clients on various regulatory matters. This role will provide maternity cover to the team for a period of 10 months.
Responsibilities:
- Promote awareness of, and compliance with, the jurisdictional regulation, legislation, and codes of practice, in conjunction with policies and procedures
- Respond to internal and external requests for information, including collation of MI/Data to support regulatory submissions, annual declarations, and licence/fee renewals
- Draft reports on the outcome of the monitoring activity completed, including the documenting of findings/observations, and communicating to the relevant Client Facing Teams (CFT) In order to agree remediation activity in a timely manner
- Support relevant Compliance Officer in the preparation of accurate and timely Client board reporting /documentation, liaising with relevant CFT to obtain supporting information as required
Skills required:
- You may hold a university degree or equivalent in Business, Economics, Commerce or other relevant subjects or an equivalent professional qualification
- Must have working knowledge of Microsoft products, Word and Excel
- Proven experience in a compliance role within the financial services sector
- Experience and knowledge of Funds would be an advantage but not essential