An opportunity has arisen within a leading FCA Umbrella firm, based near Edgware (North West London) that hosts a number of Appointed Representatives across various sectors of the financial and business sectors.
Your responsibilities will include:
- Being a point of contact for new inquiries, and assisting existing clients
- Using the FCA Connect system to onboard new clients and personnel, including higher risk and more complicated applications
- Arrange and attending (where applicable) compliance review meetings and handling all associated administration
- Training clients on the use of our internal systems, procedures, and software
- Arranging the collation of all data to submit applications to the FCA, including using the due diligence tools available to us.
- Assist in the submission and collation of information for firms requiring full FCA authorisation
- You will also be responsible for ensuring our bespoke compliance software is kept up to date and assist in building our training modules
- Ensure all staff/CF personnel complete training and maintain staff training and compliance records
- Review financial promotions as required.
- Risk management and control of our Appointed Representative's trading positions.
- Responsible for helping build the risk management platform and maintenance of the platform
- Client file reviews
- Mini compliance Audits
- Compliance consultancy and understanding of the FCA rules, COBS, SYS, SUPs etc.
You will report to the head of compliance. You will also be responsible for some administrative tasks associated with the role and the wider business and work alongside an existing Junior Compliance Officer.
You will oversee resources assigned to your reviews, be responsible for allocating activities, and ensuring they are completed on time and to a high standard. Your excellent communication skills will help you build strong relationships with clients, potential sales enquiries and the small team of senior management. You will need to possess excellent organisational and time management skills to facilitate the timely completion of all assigned tasks.
You will get an in-depth understanding of assigned business areas; their structure, processes, current or proposed changes/developments and key concerns. You will use this information to update the risk universe of our business and that of our clients, thereby you will contribute to the Compliance planning process. As administation forms part of the role, you will also be highly organised and computer literate.
This is a very hands-on role and will offer the right candidate a chance to develop, attend courses and have the opportunity to hold certain CF roles. Your CV will need to demonstrate your history in working in all areas of compliance, advising in a business-facing role, and working through regulatory changes, and an understanding of the regulatory environment. This would suit someone with relevant legal/compliance qualifications.
For immediate consideration, apply with your CV