Banking & Financial Services

Compliance Associate

Not Specified

Our client it looking for someone to join their team in Bracknell, Berkshire as a Compliance Associate to support the Head of Compliance in the delivery of the compliance monitoring programme and work with business areas to encourage a strong risk-based culture.

Key Accountabilities:

– Responsible for actioning the firm’s compliance monitoring plan
– Responsible for highlighting unknown compliance issues to the Head of Compliance
– Support the ongoing development of the firm’s compliance monitoring plan
– Produce regular compliance reports and management information that will be used by the business to monitor performance against compliance risk appetite
– Support collation of documentation for any internal/external audits or reviews undertaken
– Responsible for closing any outstanding actions from regular monitoring, thematic reviews and Internal Audit findings
– Provide support and task coverage for other members of the compliance team as and when required
– Maintain Compliance records in a structured manner, ensuring that key documents are recorded and stored in the compliance folders
– Maintain operating procedures relevant to the work of the compliance department
– Undertake ad-hoc tasks for the Head of Compliance as and when required

Competencies required:

– Can understand and convey information clearly in verbal and written forms
– Ability to provide challenge in a constructive and positive manner
– Able to manage multiple tasks concurrently, prioritise appropriately and manage stakeholders
– Have a strong team working ethic
– Have a proactive, ‘can-do’, outlook and be able to work under own initiative

Skills/Qualifications required:

– 2-3 years’ experience of working in an FCA regulated business
– Experience of working in the mortgage industry is desirable
– Have a broad understanding of the key concepts of risk management

Please note:
As you can appreciate we are currently overwhelmed with applications of individuals looking for both short term and permanent work and we can therefore only contact those applications that have relevant skills for positions that we currently have available. Should you not hear from us within a week, please assume you have been unsuccessful on this occasion.
In line with GDPR regulations, we are making you aware that to proceed with your application we will need to contact you via email, telephone and/or text message. To receive future job alerts from us, you will be required to provide consent within our marketing preference options. The link will be provided in an email to you. Source4 are an equal opportunities employer and complies with all relevant UK legislation. If you are successful in your application, you will be required to attend a full registration with one of our Consultants which will involve you providing a current passport, any relevant visas, a proof of address and completing relevant tests and a full competency based interview.