Compliance Administrator

1 MONTH TEMP ROLE

COMPLIANCE ADMINISTRATOR

£14 P/HR

Our client is looking for highly organised individual who is able to accurately juggle multiple tasks in a demanding environment.


Key Responsibilities:
* Logging and taking ownership of all staff intended PA orders, requests and approvals
* Undertake rule 8 Takeover Panel disclosures under the supervision of senior team member 
* Support the teams monthly and periodic compliance monitoring reviews as part of the Compliance
* Monitoring plan 
* Undertake the submission of Suspicious Transaction Order Reports (STOR) to the FCA 
* Logging and taking ownership of the firm’s insiders register and approval of all wall crossings requests
* Monitor and maintain relevant computer based training modules on AML and Market Abuse 
* Assist in the Controlled Functions (CF) registrations/de-registrations 
* Responsible for compiling the regular management information (MI) reports to senior management 
* Assist in various projects such as MIFID II, SMCR, GDPR 
* Assist in the classroom based training such as MAR, STOR, MIFID II
* Undertake due diligence checks for client on-boarding purposes
* Ad-hoc administration 


  Key Competencies: 
* Highly proficient in MS Office; Word, PowerPoint & Excel (essential) 
* Proven experience within asset management/capital markets 
* Proven understanding of UK regulatory regime, regulatory requirements, AML, MAR, Approved Persons, 
* Strong attention to detail 
* Extremely well organised 
* Fast learner with a flexible attitude and self-starter 
* Strong verbal and written communication skills

EQUAL OPPORTUNITIES Morgan Spencer Recruitment is committed to equal opportunities and actively seeks applications from all sectors of the community irrespective of gender, race, colour, nationality, ethnic or national origin, disability, marital status, sexual orientation, having responsibility for dependents, age, religion/beliefs, or any other reason which cannot be shown to be justified.

CONFIDENTIALITY: All applications are dealt with in strictest confidence and will be processed in accordance with the Data Protection Act 1998 
Morgan Spencer Limited, registered in England & Wales No: 4254114

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