Compliance Associate Job Description Template
Our company is looking for a Compliance Associate to join our team.
- Perform day to day Compliance Monitoring tasks following a Monitoring Plan;
- Reviewing clients’ terms and conditions of business;
- Undertake monitoring reviews and investigation of breaches;
- Review and approve financial promotions;
- Conduct file reviews and special compliance projects;
- Assist in reviewing client systems and controls in respect of conduct risk and business risks;
- Dealing with everyday queries from fee earners/Business Services staff on all core compliance topics;
- Draft compliance monitoring reports;
- Managing junior Compliance Lawyers, taking responsibility for their development and progression;
- Assisting in devising and maintaining the firm’s policies and procedures, and to develop its standard forms, on all core compliance issues.
- A-level and Bachelors degree preferred (Economics, Law, Business);
- Strong written and verbal communication skills;
- Excellent client facing skills and interpersonal communication skills;
- Excellent communication skills both written & spoken;
- Strong organisational skills;
- Experience of working to tight deadlines;
- Desire to work in an dynamic, fast-growing company environment with bluechip clients;
- 3 years experience within an FCA regulated services firm, within a Compliance function;
- Excellent user of Microsoft Office.