- Job reference
- Horsham, West Sussex, United Kingdom
- Start date
- To be arranged
- Compliance jobs
- Contract type(s)
- Full time
- Date posted
Description, duties, responsibilities
£25000 to £30,000 + benefits
A key role that is to provide assurance, advice and guidance to the business in regards to the UK and EU regulatory system with the firms client on-line platform.
- You will undertake compliance monitoring across the company’s platform, quality reviewing all areas of the business, including analysis, communication, resolution process and record retention.
- Conducting case reviews and complete enhanced due diligence and monitoring processes, including risk assessments.
- First line escalation point for compliance queries (including AML referrals).
- Planning and ownership of projects and ad-hoc tasks as required by management.
You will need:-
- Good knowledge of FCA rules and their interpretation/application.
- Good knowledge retail investments, savings and pensions.
- Ability to communicate with others confidently whilst remaining flexible/adaptable.