Compliance Assistant
A wonderful and varied opportunity at a leading City-based global investment manager
To assist the Head of Compliance in ensuring that complies with relevant FSA and European regulatory requirements in addition to compliance with relevant Group Compliance policies and procedures.
Specifically to undertake monitoring, sign off marketing materials, conduct compliance monitoring, and provide assistance and guidance to staff and other day-to-day tasks as required.
Essential Functions: Monitoring
Undertake monitoring in accordance with the risk based Monitoring plan. Prepare and issue reports of the testing and results and circulate and escalate as necessary. Focus will be on weekly and monthly monitoring items, including, for example, substantial shareholding monitoring, sanctions screening, Best Execution analysis and reviewing forensic testing results generated by Compliance.
Training
Ensure staff receive mandatory training as required. Maintain staff training records on Complinet and identify areas where additional training may be necessary. Policies and Procedures
Ensure that policies are made available to staff on the intranet.Review of Promotional Material
Review promotional material prepared on behalf of and approve for distribution throughout Europe. Assist in the development of websites and ensure information remains up to date and accurate.Client Take-On
Ensure that the client take-on process is followed, and that AML and KYC procedures are adhered to – and that an accurate master client list is maintained. Participate in the due-diligence process in relation to the on-boarding of fund distributors.
Personal Account Trading
Ensure that staff undertake PA Dealing in accordance with the Code of Ethics, and provide on-going assistance an education to staff in relation to it. Maintain the system used for recording such trades. Ensure that staff complete all certifications required.Investment Restrictions Monitoring
Review and deal with trades alerted by the Charles River Trading System, prior to daily availability of US
Compliance.
Compliance Registers
Maintain and review registers as required including breaches register (including reviewing and actioning reporting provided by Compliance) and the Gifts Entertainment register.
Candidate requirements:
You should have a good understanding of compliance within the financial markets and financial products – ideally with some exposure to investment funds.
Please contact Fergus Hooley
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