Compliance Associate (Finance, Remote)

Job summary

This role involves providing compliance oversight within an Appointed Representatives (AR) framework, focusing on wealth management and brokerage operations. The position is ideal for individuals looking to advance their careers in a fast-paced environment that merges finance and technology.

Qualifications

• In-depth understanding of FCA Handbook and Rules.
• Familiarity with Anti-Money Laundering regulations and practices.
• Experience in developing or managing a Compliance Monitoring Plan (CMP).
• Proven compliance oversight experience.
• Strong attention to detail and ability to work independently.
• Adaptability to changing circumstances and workload management skills.
• Experience in a remote working environment.

Responsibilities

• Oversee and approve the onboarding process for Appointed Representatives.
• Monitor ongoing compliance of ARs, including final approval of their financial promotions.
• Review and approve financial promotions for s21 clients, particularly those involving high-risk products.
• Assist with FCA filings as required.

Skills

• Strong analytical and problem-solving skills.
• Ability to work collaboratively in a diverse team setting.
• Proficiency in managing multiple tasks without supervision.

Education

• Relevant qualifications in finance, compliance, or a related field are preferred.

Tools

• Familiarity with compliance monitoring tools and digital platforms is advantageous.