Junior Compliance Officer – Asset Management

£50K-£55K + Bonus & Benefits
19 Nov 2020
19 Dec 2020
Contract Type
Full Time

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.

Main Responsibilities:

  • 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;

Job Requirements:

  • Minimum 3 years Compliance experience, ideally from within a similar Asset Management or Wealth Management business.
  • Degree educated
  • Excellent communication skills, both written and oral.

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