Based in the Newcastle office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance, with a focus on Compliance Monitoring across a portfolio of Appointed Representatives and for the Principal Firms within the Lawson Conner group of companies.
What is an Appointed Representative:
An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm’s authorisation known as the principal firm.
Day-to-day as Senior Compliance Monitoring Associate:
- Carrying out ongoing monitoring as per the CMP
- Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
- Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
- Collaborating with colleagues from across LC and the wider IQ-EQ group
- Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
- Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
- Following the set policies and procedures around managing conduct risk and appropriate AR oversight
- Senior Associates are expected to manage more complex mandates and more challenging ARs than those at Associate level