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A market leading private client investment manager based in the weekend seeks a Compliance Assistant to join their expanding compliance team. This is an exclusive search and a very rare opportunity to join this distinguished brand.

Job Requirement;
You will be expected to carry out account opening/account amendments for Compliance sign-off efficiently and provide help and advice to Fund Managers and administrators.

You will perform monitoring work in accordance with the Group monitoring programme to demonstrate that the businesses are being conducted in compliance with regulatory requirements.

To assist in compliance monitoring visits to branch offices of the Group in accordance with the branch visit timetable and monitoring programme.

To document all monitoring work and findings and, in the case of non compliance, liaise with the appropriate staff in Compliance or external departments, to follow up actual or potential problems and ensure correct action is taken.

To provide, after training, an advisory service on regulatory issues relevant to the companies.
Assist in the handling of complaints received from inception to resolution as and when required.

Assist in the development and implementation of the Group regulatory training programme, including giving training courses on compliance and other issues.

Candidate Background;

You will ideally be a graduate with very strong A-Levels. You should possess a minimum of 1 years compliance experience. This will have ideally been gained within Investment Management but is not essential. Most importantly you must possess a clear passion for compliance.

To find out more please contact Stephen Borner on 02034650110

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