You will get exposure to a wide spectrum of compliance areas and issues, as well as work closely with various teams across the firm. Aside from the day to day monitoring and administration tasks, you will contribute to various regulatory change and process improvement projects. This is a generalist role and your main duties (not restricted to) will be:
- Assist in maintenance and timely execution of the firm's compliance monitoring programme ensuring tasks are completed by their deadline and any breaches are recorded and dealt with;
- Assist with the administration of the firm's automated compliance monitoring platform (staff dealing and restricted / insider lists, outside business interests, gifts and entertainment) and liaise with the service provider in its development / necessary improvements;
- Help coordinate firm wide periodical certifications process;
- Monitor and prepare relevant GABRIEL filings to assure timely submission;
- Work on FCA applications under the guidance of the firm's Compliance Associate and make sure all relevant records are kept up to date;
- Assist with compliance elements of new hire on-boarding, maintain associated records and training logs;
- Assist with AML / KYC processes and checks (anti-bribery corruption and sanctions checks on transaction counterparts and investors as well as responses to KYC requests;
- Assist with annual filings and maintaining relevant FATCA&CRS records and help with efficient flow of information between the firm and third party responsible for annual reporting;
- Assist with / lead ad-hoc process improvement and regulatory change / implementation projects;
- Organise and maintain all compliance files and records;
- Assist with administrative tasks (e.g.team invoice processing).
Skills & experience required for this role:
- 3 - 4 years previous experience of working in a compliance team within investment management / asset management or compliance consultancy field;
- Educated to a degree level (preferable but not necessary)
- Understanding of UK / EU regulatory requirements, ideally within PE / asset management industry, and experience with / knowledge of AML/KYC, regulatory approvals and disclosures (FCA Connect & GABRIEL);
- Excellent communication and IT skills (MS office proficient);
- Excellent organisational skills;
- Ability to set priorities independently;
- Highly motivated and comfortable to take appropriate initiative;
- Attention to detail and strong follow through is critical;
- Ability to stay calm under pressure and with a "can-do" attitude;
- Quick learner.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.