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Compliance Associate (Prudential/Gabriel Reporting)

Date: 16 Feb 2021
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £40000 - 45000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: DB4769

Compliance Associate is required by a leadng Compliance Consulting firm. Ideally you will have at least 12 months experience working within a Prudential Review and Gabriel Reporting environment

The role involves advising clients on a wide range of regulatory compliance matters.

  • Assisting with prudential reviews
  • GABRIEL reporting
  • Preparation and review of AIFMD Annex 4 returns
  • Support CASS audits
  • Assisting with authorisations
  • Responding to ad-hoc and routine regulatory queries
  • Developing training materials and assisting in delivering training sessions
  • Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
  • At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client
  • Arrange and help prepare for client meetings
  • Attend relevant industry events to build your network and promote the brand
  • Participate in and where relevant, help to present at events and training sessions, such as client briefings on topical regulatory issues and roundtable events aimed at compliance professionals

Regulatory knowledge

• Strong grasp of financial services legislation and rulebooks including some or all of: CRR, CRD IV, FCA Handbook, GENPRU, BIPRU, IFPRU, AIFMD Annex 4, CASS
• Excellent understanding of PRA and FCA regulatory reporting rules and guidance
• Keep abreast of regulatory developments and understand how client activities may be impacted
• Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news
• Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice
• Conduct research and assist colleagues with preparing templates and other technical material on topics of interest
Qualifications and experience • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
• Educated to degree level
• Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
• Knowledge and experience of PRA and FCA regulations
• Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
• Experience managing client relationships
• Excellent Microsoft Office skills and experience using a CRM system would be an advantage
Competencies • Exceptional written and oral communication skills
• Ability to prioritise multiple projects and engagements while meeting tight deadlines
• Highly motivated individual who thrives in a fast-paced, high pressure environment

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