Vacancy Details
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Title |
Compliance Associate – Financial Services Sector |
|---|---|
| Categories | Full-Time, Permanent |
| Ref No | TAP512 |
| Salary – £ | £15,000 – £18,000 |
| Location of Job | Leeds 12 |
| Job Details | Our prestigious client seeks a talented graduate to join their busy compliance team. Your day to day responsibility will be to assist in the maintenance of a regular programme of compliance monitoring within retail operations. You will have a background within compliance and an understanding of the UK’s FSA regulations. You will be involved in reviewing collective investment scheme (CIS) documentation on an annual basis to ensure that all documents are up-to-date, consistent and meet the regulatory requirements – this will entail close liaison with other internal stakeholders (such as the Transitions and Changes team, the Investment Management Supervision team, Legal Department and other Compliance colleagues)) You will also deal with depositary and FSA liaison with the relevant trustee / depositary and the FSA (all under supervision) on changes to documents, specifically full and simplified prospectus, requiring notification to, or approval by, the FSA. Additionally you will make changes to UK-authorised CIS’s once again under supervision with proposals for changes to UK-authorised collective investment schemes (CIS’s) via the appropriate regulatory route under the FSA rules. Building relationships throughout the business including the Compliance department itself, management, legal department, investment manager supervision team and operations also some liaison with other areas of the group including Group compliance central team and other compliance policy teams within the organisation. You will also be liaising externally with the FSA (under supervision) and other legal advisors. Our client seeks a confident and ambitious candidate looking for development and longevity within the business. You will have a strong attention to detail, strong questioning and negotiation ability, and be able to demonstrate effective communication skills at all levels. If you have the right skills and experience for this role, then please contact Kimbarnes@theagency.org.uk with an up to date CV and a covering letter explaining the relevancy of your application. |
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