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The Compliance Coordinator is responsible for monitoring the firm's day-to-day operations to ensure we meet the compliance requirements in accordance with the firm's policies and processes. With your help, we can take pride in our quality control and maintain a customer-centric-culture to deliver good outcomes.

Regular Oversight:

• CASS
  - Maintains daily 2nd line oversight for rebs and ARs
  - Ensures all records and withdrawals are accurate
  - Creates CASS Monthly Board reports
  - Helps review policies/processes related to CASS
  - Creating and implementing communications calendar
  
• Financial Promotions
  - Approves Financial Promotions for the company
  - Spot check social media, sites, and telecoms to ensure compliance
  - Does Annual review and creates board report of Financial Promotions
  

• Anti-Money Laundering
  - Day-to-day review of notable transactions
  - Carryout regular AML and PEP spot checks
  - Review and report on record keeping, policies, and systems

• Financial Resources
  - Conducts review management accounts of Distributors
  - Assess as a going concern
  - Review fundraising plans
  - Review year end accounts and draft board report

• Other
  - Assessing Distributor applications
  - Assisting in drafting/proofing policies and processes
  - Contributing to blog posts and other marketing material

Job Requirements:

• Accreditation with the International Compliance Association or CISI
• Working towards relevant industry compliance qualifications
• Degree educated or minimum of 2 years’ experience in a Compliance role
• Analytical thinker with strong conceptual and problem-solving skills
• Meticulous attention to detail with the ability to multi-task
• Ability to work under pressure and meet deadlines
• Ability to work independently and as part of a team
• Excellent documentation, communication and IT skills