Employee Compliance Specialist

About the position

We are looking for an Employee Compliance Specialist to help improve and act as the main point of contact in administering various employee compliance requirements in our London office. You will have the opportunity to make an immediate impact as you shape important employee compliance processes as our business expands.

The right person for this role will enjoy both working with people and thinking about systems. Much of the work for this role involves automating, improving, or expanding existing processes, and you will need to be able to think about how each bit fits together into the bigger picture. You should be able to answer questions and explain processes clearly to a wide range of colleagues across the firm and external parties, and work well with others to implement and improve our compliance processes. Responsibilities of this role will include:

• Administering the Personal Account Dealing Policy, answering queries, and appropriately handling breaches
• Coordinating and monitoring the compliance training program, including working with stakeholders to create learning content
• Identifying employee compliance-related policies and processes in need of improvement and designing and implementing those improvements
• Working with third-party vendors to maintain and improve various tools
• Managing the full SMCR registration and exchange registration processes for certified persons
• Creating Management Information to be shared with Senior Managers and other stakeholders

This role sits within our Legal and Compliance team, a dedicated group of professionals who share a deep understanding of the law, a meticulous commitment to regulatory protocol and a passion for protecting our colleagues as they focus on their daily work.

About you

• Undergraduate degree and 2-4 years of relevant professional experience 
• Proactive, courteous and flexible team player
• Organised with strong communication and people skills 
• Enthusiastic about evaluating processes, proposing improvements and managing those projects from start to finish
• Mature, professional and trustworthy; shows excellent judgement with sensitive information
• Experience with employee compliance is preferred
• Fluency in English is required

If you’re a recruiting agency and want to partner with us, please reach out to [email protected].