Responsibility for overseeing and approving the onboarding of ARs
Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions)
Review and approval of financial promotions for s21 clients, including high risk products
Assisting with FCA filings

Strong knowledge of FCA Handbook and Rules
Knowledge of Anti-Money Laundering regulations and operations
Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP)
Compliance oversight experience
Strong attention to detail
Comfortable working in a digital environment
Comfortable working in a remotely based company
The ability to adapt quickly to changing situations
Ability to manage workloads well, without supervision
As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment.

Compliance Associate, Appointed Representatives

About this role