Compliance Monitoring Associate
- Recruiter
- IQ EQ
- Location
- Newcastle Upon Tyne, UK
- Salary
- Competitive salary
- Posted
- 04 May 2021
- Closes
- 06 May 2021
- Ref
- 2111952221
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Company DescriptionLawson Conner is a provider of outsourced compliance solutions and software that help businesses navigate regulatory infrastructure, reporting and risk requirements amidst variations in regulations under a global digital landscape. In 2018, it became part of IQ-EQ, the world's fourth-largest global investor services group (by revenue) that combines global expertise with a focus on client service delivery.
Job DescriptionBased 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 RepresentativeAn 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
Job DescriptionBased 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 RepresentativeAn 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
- Carrying out ongoing monitoring as per the CMP
- Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
- Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
- Collaborating with colleagues from across LC and the wider IQ-EQ group
- Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
- Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
- Following the set policies and procedures around managing conduct risk and appropriate AR oversight
- Bachelors degree preferred (Economics, Law, Business), or equivalent professional experience
- Demonstrable experience in an FCA regulated firm, within a Compliance or Risk function
- Strong communication skills, written and verbal
- Excellent client facing skills and interpersonal communication skills
- Excellent user of Microsoft Office
- Experience of working to tight deadlines
- Strong organisational skills
- Hands on approach, and attention to detail
- Desire to work in an dynamic, fast-growing company with all the benefits of working for a broader global Group with blue-chip clients and an ambition to be best in class