about 2 years ago
The role will involve assisting the Compliance Team in ensuring the business continues to meet its regulatory responsibilities.
The role will involve:
- Undertake ‘know your customer’ and ‘anti-money laundering’ checks in line with the company’s financial crime policies
- Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks
- Support the Compliance Manager by undertaking compliance monitoring and preparing reports to management
- Assist with the update and maintenance of Compliance procedures
- Assist with general compliance queries
- Undertake the monitoring and analysis of regulatory change and assessing the potential impact on the business
- Undertake the review and approval of financial promotions and other customer communications
- Work on compliance projects, as allocated from time to time.
- Assist with the preparation for external visits, e.g. Depositary reviews, regulatory visits
- To identify areas for improvement in the teams’ existing processes and procedures and bring them to the attention of the Compliance Manager
- Previous experience in a similar role would be advantageous
- Completed or working towards IOC (Investment Operations Certificate) would be beneficial.
- Educated to degree level