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We are seeking an individual to assist with day-to-day activities and planning for the future within our fast-moving business. The candidate will develop links across various departments and external counterparties, and assist with ensuring that all compliance functions are completed accurately, efficiently and in a timely manner.
You will be responsible for managing a team of 3.
Reviewing financial promotions to ensure they are in line with the FCA rules. Review and implementation of regulatory changes, so far as they affect the firm. Assisting with the compliance monitoring programme. Assisting with the maintenance of compliance related manuals. Assisting with FCA related compliance queries from Downing staff. Carrying out duties in relation to personal account dealing and gifts and entertaining. Assisting with the maintenance of the breaches register, the complaints register, the financial promotions register, and the gifts and entertainment register. Monitoring real time financial promotions to ensure that they comply with FCA's requirements.
Key skills and attributes
The ideal candidate will have the following:
Strong attention to detail. Good initiative with a proactive attitude to work. A strong analytical mindset. Good business awareness. Strong customer focus skills
Management experience is essential
The ability to work effectively within a team and collaborate with the wider business. Excellent planning and organisation skills, and the ability to prioritise a busy workload. Strong verbal and written communication skills. The ability to work well under pressure
Eloquent – you can explain complex things in simple, relevant terms, and in good English. Customer oriented - you are approachable, friendly and professional whilst working diligently. Nothing is too much trouble. Passionate about what you do - you are always happy to roll up your sleeves. Assertive and focus on execution – you make things happen. Creative – you think outside the box. Everything can be improved and we want someone who is confident putting forward new ideas. Team player – have fun! We do our best to cultivate an open, honest, hard-working but fun culture at Downing.
For the successful candidate, we will put together an attractive reward package that will include:
Competitive salary dependent on experience and qualifications Discretionary bonus Pension scheme Health insurance Life assurance Income Protection Death in service Additional social perks
Internal Number: 4681372
About Holmes Search
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