Compliance Monitoring Associate
- Employer
- Confidential
- Location
- North East England
- Salary
- Competitive
- Closing date
- 13 Oct 2020
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
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Based in the Newcastle office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance, with a focus on Compliance Monitoring across a portfolio of Appointed Representatives and for the Principal Firms within the Lawson Conner group of companies.
What is an Appointed Representative:
An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm's authorisation known as the principal firm.
Day-to-day as Compliance Monitoring Associate:
* Perform monitoring of Appointed Representatives and Principal Firm's activities, according to the Compliance Monitoring Plan.
* Perform monitoring of financial products / services.
* Review systems and controls in respect of conduct risk and regulatory risks
* Undertaking monitoring reviews, including Office Visits and investigation of breaches
* Production of monitoring reports for Senior Management and Appointed Representatives.
* Assisting Compliance Managers/ Directors on projects within Compliance
What is an Appointed Representative:
An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm's authorisation known as the principal firm.
Day-to-day as Compliance Monitoring Associate:
* Perform monitoring of Appointed Representatives and Principal Firm's activities, according to the Compliance Monitoring Plan.
* Perform monitoring of financial products / services.
* Review systems and controls in respect of conduct risk and regulatory risks
* Undertaking monitoring reviews, including Office Visits and investigation of breaches
* Production of monitoring reports for Senior Management and Appointed Representatives.
* Assisting Compliance Managers/ Directors on projects within Compliance
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