Compliance Assistant

2 weeks ago


Chichester, United Kingdom Thesis Asset Management Limited Full time

**Tutman Compliance Assistant**

**Location**:Working from home/hybrid working will be considered.

We have a new exciting opportunity for a Compliance Assistant to join our Tutman Compliance team in Chichester.

Tutman is an independent Authorised Fund Manager who, as part of its business model, outsources critical functions to third party delegates.

The primary function of the Tutman Compliance team is to oversee the compliance of

Tutman’s delegates through their operation of effective systems and controls, in conjunction with the wider Tutman team and other group functions (e.g. CASS, Finance,

IT and Risk). This oversight takes place through our robust initial and ongoing due diligence and breach management process.

Responsibilities will include:

- Assisting in the breach management and complaints process to ensure that any investor impact is identified and promptly resolved, appropriate root cause analysis is undertaken, any regulatory breaches are correctly identified and logged and that effective preventative measures are implemented (where possible).
- Assisting with the compliance monitoring on our delegates which will predominantly be desk-based but will also involve due diligence visits (mainly London).
- Assisting with the compliance monitoring on internal first line controls, as part of Tutman’s second line of defence.
- Providing timely governance reporting into committees/Board using the format and on the frequency specified.
- Assisting in audit reviews performed by third parties (e.g. Depositaries/Trustees) and other external meetings where required.
- Assisting with regulatory reporting as required.

The job holder will likely be a graduate and have a methodical approach to their work, with strong attention to detail. They will be friendly, professional and confident in their approach and be able to communicate effectively with a variety of different people and levels of seniority across the business.

Intermediate Microsoft Excel, Word and Outlook are also required.

Previous experience of and a general understanding of financial services is also desirable, alongside a willingness to study towards relevant qualifications. Previous experience of working in an office environment is essential.

In return, we offer a variety of benefits, including a competitive salary, 25 days holiday (rising to 27 days with length of service), Private Medical Insurance, Life Assurance, Group Income Protection and a generous contributory pension scheme.

**Job Types**: Full-time, Permanent, Graduate

**Salary**: £22,500.00-£24,000.00 per year

**Benefits**:

- Additional leave
- Company pension
- Cycle to work scheme
- Private medical insurance
- Sick pay
- Work from home

Schedule:

- Monday to Friday

Supplemental pay types:

- Bonus scheme



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