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Compliance Administrator |
|---|
Banking and Finance - Compliance Admin |
in London West End |
| Compliance Administrator
Do you have 3-4 years administration experience working within a compliance, risk management or regulatory type function? Do you have an understanding of compliance monitoring issues? Are you looking for a new opportunity within a professional, city based Asset Management Firm? Then this may be the role for you…. Reporting directly to the head of UK compliance (HUKC) you will be responsible for: Ensuring that the organisation, its regulated companies and staff are complying with the regulatory requirements; Ensuring that staff are adhering to the systems, controls and arrangements implemented by the organisation. While undertaking specific monitoring tasks to assist Compliance Managers with monitoring reviews. Assisting the HUKC to ensure that compliance procedures and controls are adequately defined to enable staff to conduct their business within the Applicable Regulatory Requirements. Prompt reporting to the Management of all “material” breaches or potential breaches of Applicable Regulatory Requirements and any significant changes to such Applicable Regulatory Requirements. Assisting the Head of Compliance and the business to resolve any Compliance-related problems and recommending an appropriate course of action. Monthly reporting on compliance and monitoring processes to the HUKC. In order to successfully complete these tasks you will need to ensure that good working relationships are maintained with the relevant Regulatory Authorities. Liasing with other business and functional areas of the organisation (e.g. Legal, Operations, Finance, Tax and Personnel) as appropriate and obtaining their technical support and guidance on any matter. In addition you will possess a: · Willingness to learn · Ability to work on own initiative · Work well within a small team environment · Excellent communication skills - written and verbal. · Excellent attention to detail · Excellent planning and organisation skills · Work well with daily deadlines. · Enthusiastic approach to work · Excellent time management skills · Flexible approach to work. · Proactive. · Excellent working knowledge of Microsoft Word, Excel and Outlook. If you have the experience and the drive to succeed in this position we would love to hear from you as soon as possible. Please forward a single page letter of application and your CV to Jo McInnes at ****.co.uk |
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