Associate Compliance Specialist - Meredith Brown Associates

 Role & Responsibilities

• Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance. SFDR, SMCR etc)
• Provide review and sign-off of marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.
• Assist with the conduct of risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Supervision of some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with overseas offices.
• Be responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.

Key Requirements

• The ideal candidate will have 2-3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.
• Candidates will also have a good working knowledge of financial services regulation,
• in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role.
• Ability to work with a degree of independence and escalating issues when and if necessary.
• Ability to interact with multiple levels in an organisation in an international environment
• Ability to prioritise, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
• Good organisational, research and project management skills.
• Strong financial and business awareness
• Legal background would be advantageous
• This is a chance to work in a high profile firm and ensure the compliance function is both robust and fit to support the business.

Background & Experience

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted