Junior Compliance Officer
Junior Compliance Officer opportunity with London based Hedge Fund
Role Details:
This role will be of a generalist nature and is ideally suited to a compliance assistant who has a natural and avid interest in the financial markets and financial products as well as regulation.
The role will span the full spectrum of compliance duties as part of a small firm so there is opportunity to make a real impact and grow the compliance division. Duties will include:
* Managing regulatory relationships with the FCA, BaFin, NFA SEC
* Keeping up to date with global regulatory developments and updating internal policies and procedures
* Providing periodic compliance reports to Regulatory Bodies and relevant Boards
* Implementation and ongoing enhancement of the compliance monitoring programme.
* Providing accurate and timely advice to business areas
* Reviewing marketing and client documentation to ensure it is fair, clear and not misleading
* Liaising with relevant parties regarding trade reporting and investigations
* Specifying and assisting in the development of IT support from a compliance perspective
* Provision of monitoring and execution functions relating to anti money laundering
* Oversight of personal account dealing and gifts policies
* Identifying and dealing with individual registrations
* Ensuring periodic statements of compliance are provided by employees
Skill Set Required:
* Minimum of 2-3 years proven compliance experience within financial services, must be broad and not purely focussed on one aspect such as AML.
* Familiar with UK regulations (FCA), pan-European regulations (ESMA guidelines) and have working knowledge of US regulatory agencies and procedures.
* Have working knowledge of plain vanilla financial instruments (Equities, Bonds, Forwards, Futures, Swaps).
* A keen interest in the financial services markets.
* Excellent communication and written skills.
* Strong attention to detail.
* Excellent interpersonal skills.
* Able to work well autonomously and independently.
* Able to operate in a small firm.
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