Compliance Associate - 1 Year Contract

OverviewIn this role you will work directly with the Senior Compliance Officer (SCO) and Chief Compliance Officer (CCO) to deploy the regulatory compliance framework. Specifically, the Compliance function aims to provide a high degree of assurance that regulatory obligations as well as high standards of conduct and ethical practices are met.You will be part of the second Line of Defence and will provide support and assistance to our existing team on all compliance activities across the firm.Key AccountabilitiesYou will undertake various compliance activities including; i) maintaining compliance calendars, ii) monitoring certain regulated activities, including call monitoring, iii) collating committee and other governance forum reports and papers, iv) assisting with regulatory correspondence and keeping abreast of operating practices. Specific tasks include:▪ Assisting with daily monitoring activities, including monitoring of trade surveillance calls▪ Maintaining the Compliance Workflow through MS Planner and supporting the completion of BAU tasks▪ Maintaining the Compliance Team Actions Log ▪ Logging regulatory correspondence/requests and ensuring timely submission of responses ▪ Assisting in the preparation and distribution of reports and papers for Management Committees, including the Compliance Committee▪ Collating and reporting Compliance KRIs and KPIs▪ Downloading reports and preparing Management Information for the Compliance Team▪ Maintaining the Compliance Manual, Compliance Procedures and Registers▪ Ensuring policies and procedures are annually reviewed, approved and communicated▪ Administration of staff personal account dealing▪ Quarterly roll-out and tracking of the completion of Compliance online training▪ Monitoring completion of regulatory reporting activities to ensure timely submission of returnsYour Background▪ Some initial experience in a financial institution, preferably within Compliance or a first line role with controls exposure▪ Strong academic record, preferably to degree level, supported by relevant qualifications.This is a hybrid role with time in the office and working from home.