Promote a Compliance culture across the wider business and assist the MLRO and Head of Compliance with Compliance Monitoring duties.
Client Details
UK based independent Investment Management firm.
Description
- Assist with the Compliance Monitoring Programme (including monitoring of PA Dealing & private investments, Gifts & Entertainment, Emails, Calls, and Outside Interests.)
- Responsible for maintenance of logs/registers such as FCA interactions, Breaches, Complaints, High Risk Register, etc.
- Assisting with the maintenance of the internal Compliance System.
- Completing data collection for regulatory returns and information requests and assisting with the associated submissions.
- Act as the first line response to assist in answering day to day Compliance, regulatory and financial crime related queries.
Profile
Proactive individual looking for their next opportunity within compliance
2 years experience within a central compliance function
Prior experience within Investment / Asset / Wealth Management
Job Offer
£35,000 to £50,000 annual salary (dependent on salary)
Discretionary performance based bonus
Hybrid working
Flexible working hours
Benefits package