Job Description:  

The role will initially involve assisting the Compliance Officer in ensuring the business continues to meet its regulatory responsibilities.  The intention is for there to be a career progression path to Compliance Officer and CF10 responsibility for the firm.

The role will involve:

• Undertake tasks relating to the monitoring of client reviews;
• Undertake internal audit tasks in line with the Compliance Monitoring Programme;
• Undertake tasks relating to IT compliance, including monitoring Disaster Recovery processes and the take on of new systems and software;
• Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks;
• Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management;
• Assist with the update and maintenance of Compliance procedures;
• Assist with general compliance queries;
• Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business;
• Assist with and lead compliance projects;

Key Requirements:

•  Educated to degree level as a minimum
• industry relevant qualifications but this is not compulsory as appropriate exam training can be offered
• Desirable qualifications are the IOC – Investment Operations Certificate, Diploma in Investment Compliance and the IMC.  Other industry relevant qualifications will be considered.