Compliance Officer

Compliance Officer London, England

Niche Asset Management ltd
Full Time London, England 12000 - 24000 GBP ANNUAL Today
Job description

After a period as a part time compliance officer assistant you could move to a full time position and be trained to become CO. Your duties will be reporting to the Head of Compliance, you will play an important role in ensuring compliance with relevant legislation and procedures. Assisting the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system. Helping to maintain a collegiate relationship with both advisors and staff to foster a positive approach to compliance across the company.

If the candidate turns out being successful there could be the option to move to a full time position.

CORE ROLE & RESPONSIBILITIES

· Assisting the Head of Compliance to implement and review the Compliance Monitoring Plan

· Participate to the Compliance Committee meetings

· Assist in preparing regular compliance reports for the Board of Directors

· Assisting with onboarding of new staff

· Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks

· Maintaining accurate, up to date and detailed compliance records and registers

· Reviewing marketing material, checking and maintaining records on financial promotions

· Keeping abreast of regulation, both in the UK and Europe, with a focus on Luxembourg and Ireland

QUALIFICATIONS AND EDUCATION REQUIREMENTS

· 1-4 years of Compliance experience in a regulated investment manager or, in case of internship, a certification or proof to know the matter

· A good understanding and knowledge of relevant FCA rules, ideally combined with knowledge of CSSF and CBI regulation

· A good understanding of other relevant legislation, including that related to financial crime and GDPR

· IT competent with advanced knowledge of Office

Job Types: Part-time, Internship
Part-time hours: 20 per week

Salary: £12,000.00-£24,000.00 per year

Schedule:

  • Monday to Friday

Supplemental pay types:

  • Performance bonus

Ability to commute/relocate:

  • London, SW1X 0DB: reliably commute or plan to relocate before starting work (required)

Education:

  • Bachelor's (required)

Work Location: One location

Reference ID: NAMcompl231

Compliance Officer
Niche Asset Management ltd

Related Jobs

All Related Listed jobs

Gardener
Audley Redwood Bristol, England 22990 GBP ANNUAL Today

\*You must have access to your own mode of transport to travel to the site, due to limited public transport access nearby\*.*. Refer a friend bonus scheme.

quality specialist
Penn Medicine Philadelphia, PA 61783 - 45388 USD ANNUAL Today

Description

Penn Medicine is dedicated to our tripartite mission of providing the highest level of care to patients, conducting...

Receptionist
Sodexo London, England 11 - 13 GBP HOURLY Today

Administration experience is essential within this position, you will welcome and assist guests when they arrive for their dining experience at The Wallace in a

Graduate / Junior Embedded Software Engineer
HMGCC Milton Keynes, England 42689 - 69374 GBP ANNUAL Today

From start to finish, youll be involved in the whole process, creating a wide range of components whilst working with a variety of customers and design

Information Technology Service Delivery Manager
Proact IT Manchester, England 30000 - 60000 GBP ANNUAL Today

To review open incidents and problems on a weekly basis that effect customers, and ensure a resolution plan is in place to resolve these in an efficient manner.