Senior Compliance Associate

We are seeking a Senior Compliance Associate with experience in financial services to join our client's team!

Responsibilities

• Liaise with all relevant departments to ascertain current compliance levels.
• Provide training and education to team members regarding regulatory compliance.
• Ensure that all team members are aware of the procedures to be followed to adhere to compliance requirements.
• Conduct regular audits in all required areas to ascertain compliance levels.
• Develop and implement compliance improvement plans where required.
• Keep up to date with industry standards.
• Delegate tasks to other departments to bring compliance levels up.
• Make reports, where necessary, to the governing body.
• Assist Regulatory Authorities with completing site visits and external audits.
• Prepare for, and conduct audits alongside external authorities.

Requirements

• Bachelor’s degree or above
• At least 3 years of hands-on experience within a compliance-focused role
• Demonstrated knowledge of the Regulatory Authority’s policies, processes, and procedures
• Experience in auditing and recording information
• Excellent attention to detail and analysis abilities
• Good communication skills, both written and verbal
• Highly organized and capable of prioritizing own workload
• Well-developed delegation skills
• Excellent problem-solving abilities
• Proficient with computer programs such as Microsoft Office