Our client is an international investment company, delivering expert services including capital markets, debt advisory, and growth capital.
THE RESPONSIBILITIES:
To assist with new client take-on requests, including background screening, due diligence checks and coordinating documentation.
Assist with the AML and due diligence checks for corporate and institutional clients. This requires close liaison with the Corporate Finance teams, Institutional Sales teams and Operational areas.
To maintain the Insider Log, be accountable for maintaining the insider lists and preparing relevant MI.
To assist with market sounding approvals and, where necessary, logging.
To assist with running the Personal Account Dealing process and maintain the required records.
To maintain the conflicts of interest register, declarations of interest process and the gifts and entertainment procedures.
To help prepare regulatory due diligence files for new corporate clients and new directors of corporate clients
To deal with day-to-day enquiries and team administration tasks.
Any other duties as required from time to time
EXPERIENCE REQUIRED:
Some regulatory compliance experience within the investment banking / broking sector
Some experience of Control Room operation.
Awareness of the UK regulatory framework.
Awareness of associated statutory legislation including UK Money Laundering Regulations, Market Abuse Regulations, Bribery Act etc
Excellent communication skills
Accuracy and attention to detail
For further information please contact Natalie Eshelby