Job Vacancy Details

Title

Compliance Associate – Financial Services Sector

Categories Full-Time, Permanent
Date Posted
February 14, 2018
Ref No
TAP1337
Salary – £
up to £22,000
Location of Job
Leeds 11
Job Details

Our Client operates out of multiple locations including Leeds, London, Dublin and Luxembourg, with £75bn of assets and circa 500 people, they are now looking to recruit a permanent Compliance Associate for the Leeds office.

As part of a small team of four, reporting into the Product Management Manager, you will review and maintain Collective Investment Scheme (CIS) documentation, such as Fund Solutions authorised schemes’ documentation, on a periodic basis to ensure that all documents are up-to-date, consistent and meet the regulatory requirements of the FCA’s COLL sourcebook.

On a day-to-day basis, the role will incorporate the following:-

  • Working closely with other internal stakeholders, such as the Product Delivery team, their Investment Management Supervision team, the Legal Department and the Compliance team.
  • Assist with the liaison between relevant trustees or depositaries and the FCA on changes to documents.
  • Assist with changes to UK-authorised CISs (Collective Investment Scheme) wind-ups or terminations in-line with the requirements of the FCA’s Collective Investment Schemes COLL Sourcebook.
  • Reporting also forms part of this role, as you will help put together the Fund Solutions monthly report and other reports following approval and sign-off by senior management.

The ideal candidate will have:-

  • Excellent communication skills – both written and verbal
  • A strong attention to detail
  • Team orientated approach
  • Innovative outlook, with the ability to look for change/continuous improvement and have the ability to work to deadlines.
  • Be able to deal with a high-volume workload and have very good interpersonal skills as you will be liaising with internal and external stakeholders.
  • Experience of working in an FCA-regulated firm in the financial services industry.

It would be desirable if you had the following:-

  • Project management experience
  • Knowledge of the FCA regulatory requirements applying to regulated financial services firms in the UK
  • Some knowledge of the FCA regulatory requirements applying to FCA-authorised Collective Investment Schemes
  • Legal skills would be helpful for reviewing documents and maintenance of policies to FCA rules

If you would like to apply for this role, please forward your details clearly outlining the required skills and experience. If shortlisted, you will be expected to attend our offices based in Cleckheaton to register before being submitted to our client.

 

GDPR Disclaimer: Please appreciate that whilst we review all CVs and applications, due to the high volume that we receive on a regular basis, we only respond to candidates that have been successful with their application. As such, if you do not hear from us within 14 working days, please accept that your application has been unsuccessful. Additionally, please note that sending a CV does not constitute a registration with THE Agency (Recruitment) Limited. In line with GDPR we will permanently delete information for all unsuccessful applications and we will not keep candidate information on file for future vacancies at this stage of our process.

How to Apply

To apply for this vacancy, please make a note of this Vacancy’s Title: Compliance Associate – Financial Services Sector and Reference Number: TAP1337 and apply by email using the email address above.

When emailing, please make sure you include this Vacancy’s Title Compliance Associate – Financial Services Sector AND Reference Number TAP1337, in your email’s subject line and don’t forget to attach your CV as a Microsoft Word™ or as an RTF (Rich Text Format) document. Other formats such as PDF or Microsoft Publisher™ documents may be rejected.

Please note: We review all CVs and applications that are sent to us, however due to the large volume that we receive on a regular basis, please be aware that we only respond to those candidates that have been successful with their application. As such, if you do not hear from us within 14 working days, your application has been unsuccessful.
 

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