Compliance Associate

Compliance Professionals; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A growing Fintech firm in London seeks a compliance professional for a generalist role. Responsibilities include assisting with policy writing, tracking FCA developments, and overseeing compliance frameworks. The ideal candidate has 2-3 years in a similar role, strong report writing skills, and attention to detail. This position offers a chance to learn in a supportive environment.

Qualifications

• 2/3 years' experience in a similar role and looking for the next step.
• Ability to compose reports of up to 1000 words in a matter of days.
• Keen eye for detail and self-starter with the ability to prioritise.

Responsibilities

• First-hand exposure to the agenda of the FCA.
• Assist with the writing of policy and procedures.
• Tracking regulatory developments and supporting the firm's relationship with the FCA.
• Overseeing the compliance recordkeeping framework.
• Utilising existing systems along with AI applications to create efficiencies.

Skills

Report writing

Attention to detail

Self-starter

Job description

THE COMPANY: Our client is an fast growing Fintech Financial Advisor to HNW and UHNW individuals. They offer a total overview of their clients finances using data aggregation techniques. This role is a generalist compliance position in a small team. It is a superb opportunity to learn and grow. THE RESPONSIBILITIES:

• First-hand exposure to the agenda of the FCA.
• Assist with the writing of policy and procedures
• Tracking regulatory developments and supporting the firms relationship with the FCA.
• Overseeing the compliance recordkeeping framework
• Utilising existing systems along with AI applications to create efficiencies
• Play a leading role in the assurance programme
• Perform a number of key functions connected with KYC policy, systems, and surveillance.
• You will gain a diverse portfolio of responsibilities, giving exposure to interesting subject matter

EXPERIENCE REQUIRED:

• 2/3 years’ experience in a similar role and looking for the next step
• The ability to compose reports of up to 1000 words in a matter of days
• A keen eye for detail
• A self-starter with the ability to prioritise