Responsibilities shall include but not be limited to
Co-ordinating the AML training process, i.e. enrolling new joiners, chasing course completion, ensuring personnel due a refresher are enrolled; maintaining internal spreadsheet.
- Directorships Overview: updating and maintaining spreadsheet and ensuring changes are reflected.
- Assisting with annual review of the Compliance Manual, updating for Compliance Officer and lawyer amendments.
- Assisting with Annual Compliance Review.
- Assisting with UK and US insurance renewals, including annual D&O renewal.
- Populating investor information into new AML/KYC monitoring platform (to be acquired).
- Assisting with implementation of SMCR and other regulatory requirements.
- Sending weekly Restricted Securities emails to investment team, and providing Compliance Officer with updated Master List at end each week.
- Maintaining Compliance-related registers, including Gifts and Entertainment register, NDA Register, Outside Interests register.
- Assisting with Companies House filings, e.g. Confirmation Statements, Annual Accounts, change of directors.
- Arranging bi-annual Risk Management Committee meetings.
- Filing: backlog of investor data to be scanned and filed.
- Other departmental ad hoc projects and tasks, e.g. LCA company presentation, Employment Handbook review.
- At least 1 year compliance experience within a compliance role in Private Equity, Hedge Fund or small Investment Management firm or linked consultancy Or - at least 1 year compliance experience within a different financial services firm as long as you also have at least a 2.1 bachelor's degree in a relevant subject or in law.
- A can do flexible attitude with the willingness to work hard.
- An ability to write a 2 page CV answering the bullet points in the job description