Compliance Analyst, Investment Firm, up to £30k!

London
£25000 - £30000 per annum
26 Nov 2020
02 Dec 2020
MDCOM1718
Maria Drye
Finance Assistant
Banking / Finance
Permanent
Full Time
Main Responsibilities:

Monitoring
  • Assist the team with compiling data and reviewing reports
  • Assist with the monitoring of staff compliance; log and review any breaches/errors
  • Review of daily reports i.e trade allocations to ensure that the firm’s stated policy is being complied with
Due Diligence
  • Assist the team with the performance of AML and KYC checks 
  • Work with fund administrators to compile reports 
Regulatory Compliance
  • Assists with enquiries or requests from regulators
  • Reviewing daily shareholder reporting reports and assist with making required returns 
  • Reviewing takeover panel reports 
  • Assist the team with the administration of ensuring that the firm and its staff are appropriately registered with relevant authorities
General
  • Compile ad-hoc and periodic reports for the firm’s regulators and clients
  • Participate in ad-hoc projects
  • Compile key performance indicators for senior management
  • General filing and administrative assistance
Key Skills:
  • Whilst compliance experience is not necessary, a legal academic background or experience within a financial services environment will be an advantage
  • Proven administrative skills 
  • Organised and methodical 
  • Conscientious and hard-working
  • Eager to learn and driven
  • Reasonably numerate and IT literate
  • Ability to build relationships and communicate effectively
  • Confident working independently, and as part of a team