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Synchronicity Group
,
Kent, Hampshire
Compliance Associate
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Job Type: Full-time |
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Salary: £35,000 per annum |
Overview
The Wealth Management arm of a multinational Group are seeking an experienced compliance associate to join their newly created first line of defence team. Experience of compliance monitoring/suitability/file reviews is essential for this role, but broader compliance exposure is also required. The role is a Compliance Associate position working closely with the Compliance Manager in a broadly autonomous role where you will not be micromanaged and will therefore have the experience and confidence to manage your own work load and proactively suggest improvements and solutions to the first line of defence risk and controls measures. - Assist in establishing and maintaining a first line framework of in-house controls and procedures - Assist in the implementation of the first line monitoring programme including, conducting regular suitability reviews, identifying themes and trends and escalating these to the Compliance Manager and Leadership Team. You will also provide advice, support, training and guidance to the Wealth Management team as well as working with the second line compliance team and the business to implement regulatory change. Whilst this role reports to the Compliance Manager, you will be able to work fairly autonomously, have the confidence and courage to make decisions and feedback to wealth managers, take leadership of your own performance and be able to stand in for the Compliance Manager at committee/leadership meetings where required. Therefore, a solid level of experience gained in at least the compliance monitoring/suitability side of this role is required. The company do offer flexible working including working from home but it is a full-time, mainly office based position. Other benefits include 25 days holiday, private medical insurance and income protection.