Job description- Compliance Executive
Salary - Up to £40K
About us
A professional FCA regulated financial services business based in London seeks an experienced candidate for support in compliance, client onboarding and maintaining policies. We are a fast paced and inclusive firm and a candidate with legal background and FCA experience would be advantageous.
We are looking for an experienced Compliance executive to join our team and provide support to our staff. The successful candidate will be responsible for a variety of tasks, including customer onboarding, maintain polices, assisting the finance department and carry out general office administration.
Key Responsibilities:
Onboarding for new clients and serving existing clients.
* Assist with carry out internal compliance audit as per framework standards.
* Ensuring all client documentation required for compliance purposes is obtained.
* Contacting clients via email/phone to chase outstanding documentation.
* Deal with client compliance issues and queries.
* Conduct continual client due diligence
* Reviewing and update client information and ensuring is kept up to date
* SMCR/ Staff Training records- FCA compliance related.
* Maintain website information and policies update
* Maintaining policies, client documentation and ensure regulatory disclosures up to date.
* General office administrative duties.
* Assist the treasury team with monitoring, tracking client payment requests and callback to verify instructions
* Assist with opening new counterpart banking / financial institution accounts.
* Any other ad hoc office admin/ compliance.
Skills & Competencies required·
· Excellent communication skills, written and telephone.
· Advanced Word, Excel and MS office applications.
· Knowledge of working in Financial Services.
· Experience of working with online onboarding software would be advantageous.
Job Types: Full-time, Permanent
Salary: Subject to experience.
Benefits: ( after qualifying period)
* Company pension
* Private medical insurance
Schedule:
In Office, Monday to Friday – in office 8.30am -5.30pm with 1 hour lunch