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Compliance Assistant

Job LocationLondon
EducationNot Mentioned
Salary£26,000 - £30,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

We are looking for a Compliance Assistant to join a Global Asset manager. Ideally you will have a minimum of 12 months Compliance or Legal experience in any Financial Services organisation.The team you will work in is the Front Office Monitoring group whose responsibility is to monitor Front Office Trading/Dealing

  • Front office monitoring (includes market abuse and all forms of dealing including best execution)
  • Undertaking other aspects of Monitoring as required by the Compliance Monitoring Plan
  • Supporting the Financial Crime Team through the completion of screening reviews and KYC checks
  • Where required, assist senior management and staff to implement controls and procedures to ensure compliance with all relevant regulations, laws and codes
  • Principle Responsibilities
  • Undertaking compliance monitoring to assist the team generally and specifically with the best execution and market abuse surveillance (this will include but is not limited to reviewing trade data utilising Bloomberg, sampling electronic communications and producing reports of any findings
  • Administering employee Personal Trading Assistant (PTA) queries and reconciling contract notes
  • Manage the complaint log and liaising with Transfer Agencies on resolutions
  • Manage the breach log and provide reporting for all European regulated entities/ UK, LUX and Irish domiciled funds
  • Assist with core compliance activities including gifts and entertainment, employee certifications and personal conflicts
  • Assist with due diligence questionnaires and RFP responses
  • Assist with the sampling and review of financial promotions
  • Supporting the Financial Crime team by assisting with the Know Your Customer (KYC) process for clients and assets
  • Carrying out screening to help identify any potential negative news or issues with customers
  • Ad hoc compliance work as required by the department
  • Person Specification
  • Hardworking and willingness to assist and take on new tasks and processes.
  • Proactive with good communication skills (writing and oral)
  • Good organisational skills and a need to demonstrate initiative

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