Junior Compliance Executive - Investment Management This position sits within the compliance department of a top Investment Management Company based in central London. You will assist the company in being compliant in accordance with the FCA and SEC rules, assist with policies and procedures and become involved with Anti-Money Laundering (AML) Anti-Bribery and Corruption risks Conduct of business rules applicable to the business.
Key Responsibilities will include
- Day to day compliance monitoring.
- Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
- Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance as required
- Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these change
- Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
- Coordinate and participate in any regulatory examinations as needed
- Conduct review and approve KYC files for accuracy and completeness of KYC documentation
- Assist and undertake compliance monitoring, audits and risk assessments
- Assist the Head of Compliance in maintaining Compliance policies and procedures
- Assist in Compliance training to new starters
- Preparing responses of Complaints in a timely manner
- maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
- Assist in the preparation of regulatory reporting returns to the FCA within set time-frames
- Assist in preparation of the half yearly risk monitoring reports
- 6 months to 2 years experience in a compliance role within an Asset Management firm, Hedge Fund or organisation linked with this sector such as a compliance consultancy.
- Self-starter with strong execution focus and ability to work independently as well as part of a team
- Excellent interpersonal and communication skills
- Good business acumen to identify and connect compliance risks across the organisation
- Strong attention to detail
- Educated to degree level. A minimum of 2.1, ideally from Russell Group University.
I will do my best to apply to every applicant, depending on numbers. If I don't get back to you it means I have been swamped and with regret, your CV will not be taken forward. From past experience this client will hold out for their ideal candidate so I will only be sending over the most appropriate profiles.