At a Glance
- Tasks: Support the Compliance team in meeting objectives and regulatory requirements.
- Company: Join a dynamic organisation focused on compliance and ethics.
- Benefits: Gain valuable experience, develop skills, and work in a supportive environment.
- Other info: Collaborative team atmosphere with opportunities for growth.
- Why this job: Make a real impact by ensuring compliance and ethical standards are upheld.
- Qualifications: College-level education or relevant market experience required.
The predicted salary is between 29700 - 36300 £ per year.
Primary Purpose of Job:
The primary focus of the role is to assist the Head of Compliance to ensure team objectives are met. This will be achieved through supporting the Compliance team to ensure the compliance plan and regulatory requirements are met through completing a range of tasks including those listed below.
- Assist in the delivery of the Compliance plan, including completing compliance monitoring activities on topics such as brokers and underwriting authorities.
- Assist in maintaining the deadline calendar, ensuring all regulatory returns are tracked. Liaise with relevant individuals to ensure returns are completed on time.
- Assist with the completion and submission of regulatory returns as required.
- Assistance with completing the broker approval process and issuing TOBAs.
- Assistance with the delivery of regulatory advice to teams including licensing and tax queries.
- Support for the conduct risk governance processes, including secretarial support for the Product Oversight Group and product review forums.
- Assist in compiling MI on a variety of topics such as conduct risk.
- Support for other areas of the Compliance team, as required.
Education / Experience:
Educated to college level/equivalent with an appropriate qualification or relevant market experience.
Key Skills:
- Strong written and verbal communication skills.
- Team player whilst able to use initiative to complete tasks.
- Able to read and analyse complex documents such as regulations.
- Good organisational skills with the ability to prioritise tasks.
- Ability to provide a compliance perspective whilst considering business needs.
IT Knowledge:
Microsoft packages including Word and Excel.
Conduct Standards:
- You must act with integrity.
- You must act with due skill, care and diligence.
- You must be open and co-operative with the FCA, the PRA and other regulators.
- You must pay due regard to the interests of customers and treat them fairly.
- You must observe proper standards of market conduct.
The above contains the main outline of your duties. However, it is inevitable that tasks may arise which do not fall within the remit of the above list. You must be able to attend the office a minimum of 4 days a week.
Compliance & Ethics Coordinator in London employer: ARK SYNDICATE MANAGEMENT LIMITED
As a Compliance Coordinator at our company, you will thrive in a dynamic work environment that prioritises integrity and collaboration. We offer comprehensive training and development opportunities to help you grow your career while ensuring a supportive culture that values teamwork and open communication. Located in a vibrant area, our office fosters a sense of community, making it an excellent place for meaningful and rewarding employment.
Contact Details:
ARK SYNDICATE MANAGEMENT LIMITED Recruitment Team
