Reporting to the Head of Legal & Compliance, we are looking for candidates who have either a compliance background within Financial Services or Paralegal candidates who have worked within commercial, ideally with due diligence experience. An overview of the role is below but please contact me and I’m happy to go through the role in more detail with you.
- Reviewing, monitoring and suggesting improvements for websites and appropriate business practices, financial promotions and marketing material with regards to FCA, ICO and ASA and all relevant legal compliance
- Maintaining up to date statuses and permissions with various regulatory bodies
- Creation and execution of company procedures to ensure systems are in place to monitor the company’s various FCA AR and IARs
- Monitoring partners for best practices with regards to legal, FCA, and other relevant regulations and creating and maintaining appropriate documentation for distribution to same.
- Ensuring FCA compliance of all company activities with respect to marketing practices and general compliance within the FS industry
- Preparation of quarterly FCA Returns for group companies
- Creation and maintenance of internal compliance procedures and policies regarding all company activity
- Educating group staff on relevant legal policies and procedures
- Liaising directly with external consultants, regulatory bodies and other companies as required
- Escalating issues to and liaising with external consultants where necessary
- Contributing to the collation of ISO 27001 documentation and evidence
- Providing advice and ensuring compliance with data protection legislation (including GDPR)
Experience: 1-2 yrs