Junior Compliance Officer
Basset & Gold is a young and innovative London-based investment company. Our mission is to create investment opportunities that are easy to understand, transparent and that continuously control risk while maintaining market-leading returns. Due to our rapid expansion we are constantly looking for enthusiastic, professional and hard working people who think outside the box and who finish projects and tasks in a timely manner. At Basset & Gold we believe that our people are the greatest asset of the company and that is why we like to invest and help them achieve their ambitions whether that is climbing Everest, buying a house or learning new skills – you decide and we’ll help you get there!
As part of our exciting growth plans for 2019 we are currently looking for a Junior Compliance Officer. This position is responsible for providing, along with the Head of Compliance and Head of Legal, compliance coverage for our Company’s departments across all Divisions, as applicable.
Being a member of the Compliance team, you are required to work with all relevant personnel to identify and manage its risk exposure by ensuring that the systems and controls which exist are effective and relevant in order to protect the Firm from both internal and external risk factors, whilst encouraging a culture of compliance and ethical standards.
Key Duties and Responsibilities
- Supporting both the Head of Compliance and the Head of Legal
- Ensuring that we stay committed to our customer service goals
- Running audits and risk assessments and manage our compliance monitoring systems
- Helping to develop key compliance and AML strategies for our new products as they are developed
- Assisting with daily, weekly and monthly voice and e communications surveillance monitoring activities effectively and within agreed completion dates (as allocated by the Head of Compliance) in accordance with relevant documented procedures.
- Maintaining robust working papers and procedures for all monitoring procedures undertaken in order to ensure an appropriate audit trail is recorded.
- Ensure that the Compliance Oversight Task list is maintained to support the production of management information requirements
- Demonstrate a willingness to suggest new monitoring procedures and / or to take forward the development of new procedures
- Ensure monitoring is performed in a timely manner and in accordance with the agreed procedures.
- Dealing with financial promotions of the firm
- Bachelor degree
- At least 2-3 years experience in a compliance, risk and AML related roles within the Financial Services industry
- Ideally experience working for a Small or Medium Sized Business
- Excellent knowledge of industry’s legal rules and guidelines
- Ability to understand the detail but also able to take a big picture approach.
- You demonstrate a willingness to deal with senior business leaders in the firm.
- Dedicated and hardworking individual, who enjoys working in a fast-paced team environment
- Outstanding communication skills at all levels
- Desire and commitment to "make a difference"
- General business analysis and problem-solving skills.
- Familiarity with IT systems preferred
- Technically proficient in the use of Power Point and Excel.
- Eager to learn
- Independent, self-motivated
- Good interpersonal and influencing skills
- Extremely strong organizational and relationship skills.
- Proactive with drive and willing to challenge the status quo.
Hours of Work:
Core hours are 8.30am – 5.30pm; however, flexibility is required to meet essential business deadlines.