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Compliance Assistant (Job Ref:5912)

Asset Management , Broker/Commodities | Monitoring | Permanent | up to £35,000 | West End - London

THE COMPANY:

 

Our client is a leading Asset Manager with over £5billion under management who is looking to expand their compliance departments.

 

THE RESPONSIBILITIES:

 

  • Carry out account opening/account amendments for Compliance sign-off efficiently and provide help and advice to Fund Managers and administrators.
  • Perform monitoring work in accordance with the Group monitoring programme to demonstrate that the businesses are being conducted in compliance with regulatory requirements.
  • Assist in compliance monitoring visits to branch offices of the Group in accordance with the branch visit timetable and monitoring programme.
  • Document all monitoring work and findings and, in the case of non compliance, liaise with the appropriate staff in Compliance or external departments, to follow up actual or potential problems and ensure correct action is taken.
  • Provide, after training, an advisory service on regulatory issues relevant to the companies.
  • Assist in the handling of complaints received from inception to resolution as and when required.
  • Contribute to and carry out compliance and procedure projects as required.
  • Assist in the development and implementation of the Group regulatory training programme, including giving training courses on compliance and other issues.
  • Carry out routine compliance duties, as required in a prompt and efficient manner eg registrations, takeover panel reporting etc.
  • Undertake professional development to ensure that personal skills and knowledge of compliance and the business are adequate for the job-holder’s duties and responsibilities.
  • Take a pro-active role in the development of skills within the department.
  • Undertake any other tasks allocated by the senior compliance staff within the Group.   

 

EXPERIENCE REQUIRED:

 

  • Ideally will have Compliance experience from an FSA regulated environment

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