Compliance Officer London, England
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
