Compliance Policies and Procedures
- To assist in ensuring that there are adequate, clear and sufficiently detailed compliance and regulatory policies and procedures in place for the organisation .
Regulatory Advice and Queries
- Assist with reviewing and updating compliance policies and procedures.
- Assist with managing and record keeping of client complaints.
Compliance Monitoring Programme
- Assist the UK Head of Compliance with executing the Compliance Monitoring Programme covering routine compliance monitoring of various aspects of the business, as well as rolling Business Reviews, reporting on identified weaknesses and following through to ensure implementation of agreed action points with the UK Head of Compliance
- Potential compliance issues are to be identified and addressed in a timely manner.
- Assist with conducting internal investigations with respect to actual or potential irregularities, compliance breaches and violations.
- Maintain awareness of compliance issues raised by internal and external consultants, auditors and regulatory bodies and coordinate with the UK Head of Compliance to ensure that appropriate steps are taken to resolve such issues.
Rolling Business Reviews and Registers.
- Assisting in ensuring regulatory registers are kept up to date and accurate.
Trade & Deposit/Withdrawal Monitoring
- Assist with ensuring that trades are reviewed and red flags are investigated as required.
- Assisting with client deposit and withdrawal monitoring. Investigating potential red flags and eliminating false positives.
New Client Approval Process
- Monitoring the information gathering and other requirements for the acceptance of potential new clients and supporting documentation required.
- Refer to and consult with the UK Head of Compliance regarding higher risk clients and any client requiring additional approval.
- Review all new Client Files (KYC Form, appropriateness testing plus regulatory and anti-money laundering due diligence documentation) to ensure compliance with UK regulations and internal procedures.
Legal and Regulatory Responsibilities
- Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London compliance manual and compliance policies and procedures as issued from time to time; Regulatory requirements, including, but not limited to, Anti-Money Laundering, the prevention of Financial Crime and Fraud, Anti-Bribery and Corruption and sanction issues including reporting, including unusual and suspicious activity and liaison obligations to the Money Laundering Reporting Officer. Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence
6 months experience within compliance in Financial Services.
A keen passion to secure a role within Compliance.
Graduate in a technical subject.
£25,000 - £35,000 annual salary equivalent (depending on experience)
Excellent progression prospects
Graduate Compliance Analyst role within leading Private Equity firm.