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Compliance Associate

  • Location

    London, England

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £35000 - £40000 per annum

  • Contact:

    Ronnie McClughen

  • Contact email:

    Ronnie@kennedypearce.com

  • Job ref:

    4895_1542355246

  • Published:

    4 months ago

  • Startdate:

    ASAP

Our client, a Financial Services power house are recruiting a dynamic, post-entry level compliance professional to play a key role in the Advisory Compliance function, monitoring regulatory developments and advising the business on Compliance matters.


General Duties:


* Support the Supervisor, Advisory (Investments) in monitoring key regulatory developments and offering advice and guidance to other units as required

* Assist the Supervisor in the implementation of new regulations and other projects (e.g. SMCR)

* Assist the Supervisor in analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business

* Perform ongoing tasks such as reviewing and signing off on financial promotions

* Perform "deep dive" complex ad hoc monitoring tasks e.g. review of outsourcing arrangements

* Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business

* Assist in the administration of compliance policies and procedures

* Conducting Compliance Inductions to new employees

Knowledge and Experience:


* Strong educational background

* At least two years' relevant experience

* Good knowledge of products and markets that IFL is active in:Products - Ags, Dairy, Energy, LME, FX and Precious Metals Exchanges - ICE, LME, Eurex and Euronext

Qualification and Skills:


* Strong analytical and communication skills (written and oral)

* Effective planning, organisation and time management skills

* Ability to work extremely accurately, thoroughly, reliably and with strong attention to detail

* Commercial awareness

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