Compliance Associate (UK), Appointed Representatives

Your Role:

We are looking for a full-time Compliance Associate with direct experience in wealth management, brokerage, trading, compliance, audit to deliver compliance oversight within an AR umbrella. The position presents a real opportunity for an ambitious individual looking to join a growing business and is looking to develop their career within a dynamic team spanning finance and technology. 

Things You Get To Do:

• Responsibility for overseeing and approving the onboarding of ARs
• Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions)
• Review and approval of financial promotions for s21 clients, including high risk products
• Assisting with FCA filings

Who You Are (Must-Haves):

• Strong knowledge of FCA Handbook and Rules
• Knowledge of Anti-Money Laundering regulations and operations
• Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP)
• Compliance oversight experience
• Strong attention to detail
• Comfortable working in a digital environment
• Comfortable working in a remotely based company
• The ability to adapt quickly to changing situations
• Ability to manage workloads well, without supervision
• As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment. 

 

Who You Might Be (Nice-to-Haves):

• Experience in the Appointed Representative landscape (preferably including firm onboarding, APER onboarding & AR monitoring)
• Experience as Compliance SME in AR meetings and on AR related projects
• Experience in risk management
• Experience formulating responses to complex regulatory questions based on prevailing rules and legislation
• Auditing experience
• Experience in the fintech and/or start-up space