Job Summary: 

• Provide day to day compliance advisory support to all areas of digital Personal Investor business which includes Operations, Marketing, Digital and Propositions.
• Support existing team members as required in areas such as financial promotions, PA Dealing and Code of Ethics, Sales and Distribution.
• Participate in projects related to regulatory or business change and ensuring correct 1st and 2nd line responsibilities.
• Take responsibility for own deliverables and meeting deadlines whilst being part of a supportive team environment.
• Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
• Supporting the Head of Compliance in the maintenance of a good working relationship with the FCA and assisting in the management of any onsite inspection visits.
• Provide advice to the business with regards to relevant regulatory advice 
• Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
• Advising the business on regulatory matters on a daily basis.
• Carry out compliance projects 
• Investigating escalations of suspicion in respect of market abuse and assisting with preparation of STORs and SARs for regulatory bodies

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Risk Management (Hard Skills)
• Project Management (Hard Skills)
• Financial Analysis (Hard Skills)
• Team Collaboration (Soft Skills)
• Advisory Communication (Soft Skills)
• Problem Solving (Soft Skills)
• Time Management (Soft Skills)

Job Summary: 

• Undertake risk-based Compliance monitoring, consideration of findings, implementation of required actions and produce reports to Compliance Manager
• Develop and maintain strong relationships with partners/employees and provide appropriate advice and guidance on Compliance matters across the firm, referring issues to Compliance Manager
• Monitor changes to rules and regulations affecting the firm's business
• Recommend improvements where appropriate and ensure the Compliance manual and policies and procedures are kept up to date in light of developing regulations
• Monitoring and approval of breaches and errors to ensure the business takes appropriate corrective and remedial action
• Maintain and update PA Dealing Register/Inside Register/Gifts and Entertainment Register/Conflicts of Interest Register
• Assist in Compliance training to new starters and deliver training to the various businesses and key personnel within the firm
• Assist in the review and approval of financial promotions material
• Assist in the preparation of regulatory reporting returns to FCA within set timeframes
• Complaint handing for the firm's businesses
• Assist in the handling of Data Subject Access Requests, including collating documents

Skills on Resume:

• Regulatory Reporting (Hard Skills)
• Compliance Training Development (Hard Skills)
• Relationship Management (Soft Skills)
• Strategic Planning (Hard Skills)
• Analytical Thinking (Hard Skills)
• Communication Skills (Soft Skills)
• Problem Solving (Soft Skills)
• Detail Orientation (Soft Skills)

Job Summary: 

• Conduct ongoing trade review and supervisory functions for retail branch accounts
• Respond to requests from the firm on various supervision and surveillance related issues
• Conduct Branch Reviews/Exams
• Act as a primary contact person for questions pertaining to accounts and the branch
• Review/approve activity in customer accounts on a periodic basis and other documents requiring the review as a Series 24 principal
• Ensure customer complaints are reported to Compliance promptly
• Review risk related reports and take appropriate action
• Identify irregular patterns and trends related to trading activity
• Assist in responding to regulatory requests from various regulatory bodies
• Provide training to all registered and unregistered personnel, including that all registered representatives complete required continuing education courses – both regulatory and firm element
• Confirm that all registered representatives are appropriately registered to solicit the purchase/sale of securities in the state of residence for each client

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Data Analysis (Hard Skills)
• Surveillance Monitoring (Hard Skills)
• Training and Development (Hard Skills)
• Problem Solving (Soft Skills)
• Effective Communication (Soft Skills)
• Attention to Detail (Soft Skills)
• Conflict Resolution (Soft Skills)

Job Summary: 

• Routinely audit the compliance program to ensure the firm is meeting its responsibilities
• Research new rules and laws to ensure the Firm implements reasonable and effective compliance programs
• Assist with responses to inquiries from regulators
• Liaise with external compliance consultants as well as legal counsel
• Conduct compliance risk assessments and monitoring, report on findings, and provide recommendations and implement changes
• Review alerts generated by surveillance systems and advise on any changes to reports 
• Monitor regulatory developments and communicate applicable details to relevant teams within the group
• Provide compliance guidance on trading and business initiatives
• Ensuring all U-4 updates are reported in a timely manner
• Contribute to internal and external reviews, including Third Line of Defense reviews and assist in carrying out any required any enhancement or remediation work

Skills on Resume: 

• Regulatory Compliance Management (Hard Skills)
• Legal Research (Hard Skills)
• Risk Assessment (Hard Skills)
• Data Analysis (Hard Skills)
• Problem Solving (Soft Skills)
• Effective Communication (Soft Skills)
• Team Collaboration (Soft Skills)
• Time Management (Soft Skills)