Compliance Monitoring Associate

Our mission is to enable everyone to build wealth

We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success.

Over the past few years our client base has grown 20 times to over 2 million and client assets have grown over 50 times to over 4 billion.

What youll do

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan

• Identify any gaps or weaknesses in the plan and propose remedial actions

• Day to day management of the plan ensuring tests are completed on time and that progress is made against the overall plan

• Assist with scoping implementing and managing second line testing to ensure alignment with regulatory requirements and business process

• Report and discuss all findings with appropriate management and following up to ensure remediation

• Document the findings recommended actions and management responses together with agreed timescales and action owners

• Follow-up managements implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager and where relevant the Head of Compliance

• Track business unit actions to mitigate risk and support continuous improvement across the business

• Support the wider compliance team with ad hoc tasks as required

What you need to have

• 2 3 years compliance monitoring experience within financial service.

• Broad understanding of the FCA rules and regulations

• Good interpersonal skills - able to interact with people at all levels both face to face on the telephone and in writing

• Ability to work on multiple projects simultaneously and responding to immediate incidents

• Ability to assimilate complex details quickly and present clearly to the business or in a report

• Strong report writing skills as well as attention to detail and accuracy

• A calm and methodical approach to troubleshooting issues in a pressured environment

• Service-orientated/ self-starter attitude

What we offer

• Challenges that will help you grow and realise your potential really fast

• Opportunity to make a big impact - you will build innovative services used by millions of investors to build wealth

• Work with smart spirited helpful high-performing colleagues with a common goal

• An environment where nothing is set in stone

• Appreciation for your talent and ideas

• Generous remuneration package including annual bonuses

Are you ready to accelerate your career with us Wed love to hear from you!

We thank all applicants but only candidates selected for an interview will be contacted.

All personal data of applicants is protected by the law and will be treated with strict confidentiality.

Required Experience:

IC