Compliance Associate

Permanent @Charlie Watson in Compliance
  • City of London View on Map
  • Post Date : November 1, 2023
  • Apply Before : May 1, 2024
  • Salary: £45,000.00 - £50,000.00 / Annual
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Job Detail

  • Job ID 39707

Job Description

Compliance Associate

London or Norwich


£45,000 – £50,000

cer Financial are working alongside a financial institution based in either London or Norwich. They are seeking a Compliance Associate to work with them on a permanent basis.

In this role you will have delegated responsibility from the Group Compliance Manager for the development, execution, and oversight of operational procedures relevant to the Groupwide Compliance Management framework and/or Subject Matter specific frameworks and programmes.

The Responsibilities of a Compliance Associate Will Include:

  • Provide subject matter expertise (review and analysis) for enquiries/escalations for areas of assigned responsibility.
  • Design and implementation of operational procedures for areas of assigned responsibility.
  • Maintain main systems and/or tools supporting key Compliance Management frameworks and programmes.
  • Develop and deliver key Compliance-related Communications and Training (courses and materials)
  • Manage Compliance Team Folders according to procedures.
  • Update and maintain Compliance Team Registers and Records
  • Update new Client Information
  • Create Reports (MI) on regular and ad-hoc basis.
  • Provide general ad-hoc administrative support to the Team and the Group Compliance Manager
  • Managing personal workload and prioritising tasks to meet business needs.
  • Engaging with internal stakeholders/Compliance Managers to ensure timely completion of tasks.
  • Achieving operational goals set and deliver against agreed targets in terms of quality and productivity.

The Successful Compliance Associate Will Have:

  • Confident using MS Office Productivity Tools (Word, Excel, Outlook, PowerPoint) particularly Excel.
  • (Desirable) Bachelor’s degree in Law, Risk Management or Finance,
  • (Desirable) Minimum Intermediate to Specialist level training and certification obtained from 3rd party Accrediting Body e.g. ICA Specialist Certificate in AML, Financial Crime, Sanctions, Governance or Compliance

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