Compliance Coordinator

1 month ago

united kingdom Reed- UNLIMITED Full time

Are you passionate about ethics and integrity in the finance and investment industry? Do you have an eye for detail, a knack for leveraging cutting-edge technology, and a drive to ensure compliance with high ethical standards? If so, we have an exciting opportunity for you

As a Compliance Coordinator at CFA Institute, you’ll be at the forefront of protecting the integrity of the financial profession. You’ll play a key role in designing, developing, and maintaining a dynamic monitoring program that identifies CFA Institute members and candidates who may have violated the Code of Ethics and Standards of Professional Conduct. Working alongside a collaborative team and utilizing advanced technology (including AI), you'll help ensure that our members uphold the highest ethical standards.

What You'll Do:

  • Support the design, development, and maintenance of a monitoring program that ensures ethical conduct among CFA members and candidates.
  • Assist in the evaluation of potential misconduct and escalate cases for further investigation when necessary.
  • Collaborate with various departments and leverage a range of information sources to detect violations.
  • Utilize innovative technologies and explore new tools to enhance monitoring efforts.
  • Work closely with the Manager, Monitoring and Detection, to identify potential cases and improve processes.

What We’re Looking For:

  • Experience: 1+ years of experience in compliance, preferably within finance, investment management, or a related field.
  • Technology Savvy: Familiarity with monitoring tools and technologies, and experience with AI is a big plus
  • Analytical Mindset: You love diving into data to uncover potential issues and can evaluate the complexity of cases.
  • Collaborative Spirit: You’ll work with multiple teams, so being a great communicator and team player is key.
  • Detail-Oriented: Your ability to handle confidential information and identify subtle violations will make you successful in this role.
  • Tech Proficiency: Experience with Microsoft Office, Adobe Suite, and a curiosity for new technologies.

Why Join Us? At CFA Institute, you'll not only be part of a global organization that's setting standards for investment professionals but also work in an environment where innovation and professional development are encouraged. With opportunities to learn and grow, this is your chance to make a real impact in upholding the highest ethical standards in the financial world.

As the global association of investment professionals, CFA Institute sets the standard for professional excellence and credentials. We champion ethical behavior in investment markets and serve as the leading source of learning and research for the investment industry. We believe in fostering an environment where investors’ interests come first, markets function at their best, and economies grow. Spanning nearly 200,000 charterholders worldwide across 160 markets, CFA Institute has 10 offices and 160 local societies.

At CFA Institute, we care about our employees’ mental, physical, social, and financial well-being. That’s why we are committed to providing a comprehensive, competitive benefits package that offers flexibility to make choices that meet their needs:

  • Health & Well-being benefits that are amongst the best in the industry with full comprehensive Medical, Dental, and Vision for employees and their family members

  • Comprehensive Leave and Time Off plans

  • A focus on Financial Well-being means that we stack our retirement benefits against the most competitive standards.

  • Flexible work arrangements

  • Wellness, Education, and Employee Assistance Benefits

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