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Senior Compliance Associate
1 month ago
A leading Wealth Management firm are seeking a Senior Compliance Associate to join their Wealth Management Compliance team on a permanent contract. In this role you will support the wider advisory business in maintaining strong compliance and servicing esteemed clients.
Responsibilities
- Under MiFID regulations ensure adherence to regulatory requirements across all relevant compliance matters
- Assist in the development and implementation of relevant policies and procedures
- Conduct compliance assurance activities
- Engage with stakeholders in discussing regulatory developments, guidance and industry trends
Requirements
- At least 4 years' experience in a similar role within Compliance
- A professional diploma/certification obtained in Compliance
- Mifid understanding is crucial
- Experience dealing and engaging with the CBI
- Strong communication ability and ability to meet key deadlines
Benefits Strong benefits and hybrid work model on offer, if interested apply with your CV now or contact Sean at
Requirements
At least 4 years' experience in a similar compliance role A professional certificate or qualification in Compliance MiFID understanding is crucial Strong CBI knowledge and ability to communicate with the regulator
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