Alpaca - Compliance Associate (UK), Appointed Representatives
Upload My Resume
Drop here or click to browse · Tap to choose · PDF, DOCX, DOC, RTF, TXT
Requirements
• Strong knowledge of FCA Handbook and Rules • Knowledge of Anti-Money Laundering regulations and operations • Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP) • Compliance oversight experience • Strong attention to detail • Comfortable working in a digital environment • Comfortable working in a remotely based company • The ability to adapt quickly to changing situations • Ability to manage workloads well, without supervision • As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment. • Who You Might Be (Nice-to-Haves): • Experience in the Appointed Representative landscape (preferably including firm onboarding, APER onboarding & AR monitoring) • Experience as Compliance SME in AR meetings and on AR related projects • Experience in risk management • Experience formulating responses to complex regulatory questions based on prevailing rules and legislation • Auditing experience • Experience in the fintech and/or start-up space • How We Take Care of You: • Competitive Salary & Stock Options • Health Benefits • New Hire Home-Office Setup: One-time USD $500 • Monthly Stipend: USD $150 per month via a Brex Card • Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce. • Recruitment Privacy Policy
Responsibilities
• We are looking for a full-time Compliance Associate with direct experience in wealth management, brokerage, trading, compliance, audit to deliver compliance oversight within an AR umbrella. The position presents a real opportunity for an ambitious individual looking to join a growing business and is looking to develop their career within a dynamic team spanning finance and technology. • Things You Get To Do: • Responsibility for overseeing and approving the onboarding of ARs • Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions) • Review and approval of financial promotions for s21 clients, including high risk products • Assisting with FCA filings
Benefits
• New Hire Home-Office Setup: One-time USD $500 • Monthly Stipend: USD $150 per month via a Brex Card • Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce. • Recruitment Privacy Policy
No credit card. Takes 10 seconds.