Junior Compliance Officer

Job Details

Location:

West London

Job Description

Junior Compliance Officer

Salary: Up to £40,000. Excellent bonus and benefits.

Our client, a boutique asset manager, are looking for a Junior Compliance Officer to work alongside the wider team to assist in all compliance aspects of the business as well as being involved in project work.

Purpose:
To work with the rest of the compliance team to complete all daily/weekly/monthly tasks, including regulatory disclosures, and post trade monitoring, as well as involvement in the Compliance Monitoring Plan. Involvement in a wide range of tasks and projects including front office advice and oversight, investment guidelines and financial crime.

Description:

  • Assist the Compliance Manager in completing daily/weekly/monthly compliance tasks;
  • Review regulatory disclosures;
  • Manage ethics processes, including PA Dealing and Gifts and Hospitality;
  • Assist the Compliance Manager in implementing the Compliance Monitoring Plan through surveillance tasks – including market abuse and best execution;
  • Assist the Compliance Manager in implementing the Compliance Monitoring Plan through thematic reviews – including external visits;
  • Review regulatory developments on a weekly basis;
  • Review financial promotions and other marketing documentation produced by the marketing team;
  • Assist in maintaining Investment Guideline rules within the order management and trading system;
  • Assist the team in advising the business on the implications of current and future laws, regulations, codes and standards;
  • Review new broker arrangements.

    Skills and Experience:

  • 1-2 years’ compliance experience necessary;
  • Good regulatory knowledge – specifically the Financial Conduct Authority, but knowledge of the Central Bank of Ireland and Commission de Surveillance du Secteur Financier also useful;
  • Knowledge of order management and trading systems would be useful;
  • A commitment to a career in compliance.

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