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