An asset management house is looking to hire a Junior Compliance Officer to join their growing compliance team. An ideal opportunity for a candidate at the beginning of their career to move into a broad and varied role covering a range of compliance duties.
- Conducting risk-based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
- Help to maintain, develop and drive forward the completion of the Compliance Monitoring Programme
- Review and approval of financial promotions
- Oversight and administration of the Conflicts of Interest Framework including PA Dealing, Outside Business Interests, Inducements etc.
- Supporting the on-boarding of new client and counterparty relationships
- Assisting with FCA Regulatory returns
- Leading by example to enforce an effective Compliance culture throughout the Company
- Contributing to the development of regulatory procedures by identifying areas of weakness and making recommendations for improvement
- Assisting with the production of management information and committee materials covering a range of Compliance topics
- Other ad-hoc tasks as and when required within the Compliance department
- Keep up to date with industry knowledge and to ensure the appropriate competency levels are maintained;
- Minimum 3 years Compliance experience, ideally from within a similar Asset Management or Wealth Management business.
- Demonstrable understanding of the FCA Handbook and relevant regulations, with a desire to continually self-develop technical competencies
- A self-starter with demonstrated ability to manage multiple tasks and successfully deliver against strict deadlines
- Excellent written and verbal communication skills, adept at delivering key messages to senior stakeholders, obtaining buy-in and working collaboratively to achieve compliant outcomes
- A proven history of critical thinking and problem solving under pressure, with a keen desire to tackle the challenges that a fast-paced environment such as ours encompasses on a daily basis
- Solid base of interpersonal skills with a diligent, tenacious and attention-to-detail oriented mindset; someone adept at joining the dots and able to think creatively on their your feet
- Degree educated, preferable.
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