Junior Compliance Analyst (Asset Managment)

Robert Half Limited
London (Greater)
£130 - £250 p/day
07 Nov 2017
15 Nov 2017
Contract Type
Full Time
The Role: Robert Half Financial Services are representing a boutique, City based institutional Asset Manager, looking to urgently hire a Compliance junior to join their busy and growing company and department. The role is initially temporary, with the view to going permanent after 6-months and would suit someone who ideally haw a Law degree and is interested in a career in Compliance. The new Compliance Analyst/ Administration should have some administration experience gained within a financial institution. However they do not require direct Compliance experience as training will be provided in-house. The job will focus on providing administrative support for the team and some basic Compliance Monitoring. The position involves, supporting the co's Compliance team, the Compliance Analyst to ensure all admin is accountable for providing a full range of compliance and administrative support. Utilizing solid business acumen, strong judgement, professionalism and confidentiality the incumbent will deal with potentially sensitive situations that require tact and diplomacy. The incumbent will effectively manage a compliance databases and user sites, perform testing, and assist in monitoring and reporting to ensure compliance with policies and procedures. In addition, this incumbent will manage travel for the department and other administrative responsibilities. Responsibilities: Compliance Management Responsibilities (65 %) * Carry out monthly, quarterly and annual reporting; * Conduct periodic monitoring reviews and assist in preparation of Compliance Monitoring reports; * Assist the Compliance Manager with on-line filings and updates; * Assist the CCO and his management team in preparation of reporting to the Board of Directors and Committees; * Assist the Compliance Manager with compliance certifications; * Perform research and process ad-hoc inquiries; * Identify and circulate regulatory changes and significant industry events; * Assist the Compliance Manager with Compliance set up for new employees; * Assign and monitor completion of online training modules for the co's staff; * Act as point of contact for Gifts and Entertainment and Personal Dealing queries and approve staff requests; * Participate in compliance projects as assigned by the Compliance Manager. Administrative Responsibilities (25 %) * Schedule appointments and meetings for department personnel; * Maintain an effective filing system for the team, including confidential data and ensure records are accurate and up-to-date; * Manage expenses and travel arrangements for the team; * Provide administrative support the team, including preparation of materials for meetings, scheduling updates, reservations, or other duties as assigned; * Prepare/ produce reports, letters, graphics and other documents and handle correspondence as directed. Coordinate information for use in reports and meetings which may include creating meeting agenda's. Utilize advanced software/specialized department software to generate reports, correspondence, analysis, in-house publications, etc. Other Duties as Assigned (10 %) Knowledge/Skills/Competencies/Education: Salary £130 per day - £250 per day, dependent upon experience. Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:https://[URL removed]
This job was originally posted as www.jobsite.co.uk/job/959479446