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Senior Compliance Associate

EGRecruiting Ltd
Job LocationNewcastle Upon Tyne
EducationNot Mentioned
Salary35,000 - 40,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time Work from home

Job Description

Candidate Requirements:Skills and Experience:- A strong understanding of the regulatory environment, and regulatory expectations in terms of advice standards and record keeping A strong knowledge of financial planning, investment and protection products, risk and the advice process Familiar with wealth management, discretionary fund management, pension management (SIPPs) and applicable regulations An understanding of AML and data protection requirements Excellent communication (oral and written) and interpersonal skills Highly organised with good attention to detail An ability to work and perform with a level head in a pressured role Capable of prioritising and juggling multiple tasksProfessional, reliable, diligent and trustworthyBenefits:

  • Remote working
  • Full-time 37.5 hours (9am-5.30pm)
  • Pension
  • Holidays 25 plus stats
  • Life Assurance
  • PMI
Role:Due to continued expansion via acquisitions, our client is seeking to strengthen their compliance function and is now looking to appoint an experienced Senior Compliance Associate (Compliance Assistant). The successful individual will work alongside andreport into, the existing Head of Compliance and will have a pivotable role in setting advice standards throughout the business.This is a superb opportunity to work alongside a highly knowledgeable and experienced team, utilising your knowledge of Financial Planning, investment and protection products, risk and the advice process.Responsibilities:- Maintain FCA register, input relevant changes, plus new adviser onboarding, including background checks and competency assessments Progression of FCA applications Supporting with regulatory returns Assist with policies and procedures across compliance and risk; update risk register Investigate and respond to complaints, as part of team Manage root-cause analysis process Provide MI for SMT Support with Consumer Duty Implementation plan actions Assist with compliance related enquiries Review regulatory development, including FCA papers/communications and cascade as appropriateQualifications:Industry qualifications whilst desirable, are not essential.Know someone who the above job would be a perfect fit forREFER THEM ...and receive £250 when they start in their new role!

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