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Compliance Assistant

1 month ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital. They also run an Equities fund.









THE RESPONSIBILITIES:


  • Act as ambassador for the Compliance Department, promoting its highly regarded reputation and developing its function as a critical business area with a strong focus on service and relationship management across the business.
  • Keeping abreast of regulatory developments to consider the impact on the business.
  • Working closely with Compliance team members to coordinate team activities and workstreams (including Compliance policies/procedures updates)
  • Assist with the execution of the Compliance Monitoring Programme (including monitoring of PA Dealing, G&E, Emails, Calls, and Outside Interests.)
  • Responsible for maintenance of logs/registers (including FCA interactions, Breaches, Complaints, High Risk Register etc.)
  • Assisting with the maintenance of the Central Compliance System (currently My Compliance Office (“MCO”), including the coordination of compliance uploads and inputs to the system.
  • Completing data collection for regulatory returns and information requests and assisting with the associated submissions.
  • Own and maintain the compliance monthly monitoring dashboard and quarterly Consumer Duty dashboard.
  • Act as the first line response to assist in answering day to day Compliance, regulatory and financial crime related queries.
  • Investigate initial on-boarding results from Compliance AML electronic verification systems (currently Smartsearch & Dow Jones) and monitor alerts that result from ongoing screening (PEPs/Sanctions/High Risk Flags etc).
  • Assist with on-going CDD monitoring of existing relationships Training/Staff/SMCR
  • Reviewing, editing and issuing eLearning training modules utilising the online training portal (currently Skillcast).
  • Analysis of compliance training data, feedback and creation of MI reports.
  • Interacting with the wider business to ensure staff complete Compliance related requests.
  • Working in conjunction with the People team to manage joiners, leavers and transfers (JLT) and related processes from a Compliance perspective including coordinating the Certified Persons/Senior Managers filings under SMCR














EXPERIENCE REQUIRED:


  • Experience in a Compliance/Financial Crime function within an FCA regulated entity
  • Previous exposure to Compliance Frameworks – strong experience of Compliance Monitoring highly desirable.
  • Relevant experience of compliance processes including logs/registers, regulatory filings, verification systems, centralised compliance monitoring systems, and online training portals.
  • Must be able to work with, and analyse, large volumes of data to uncover useful insights. Excel and PowerBI proficiency is preferred.
  • Strong interest in the investment management industry and its applicable regulations.
  • Passion to increase regulatory knowledge and develop as a generalist Compliance professional.















For further information please contact Duncan Jeffery