What are the responsibilities and job description for the Senior Compliance Associate position at Leeds Professional Resources?
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
Salary : $125,000 - $150,000
