Our client is a well established funds management services with global presence, supporting a network of affiliated fund managers with compliance, governance and operational services. The compliance team sits across risk, regulatory and AML functions, all reporting into the Chief Compliance Officer.
ABOUT THE ROLE
Reporting to the Senior Manager, Compliance, this role supports the Compliance Team in maintaining and enhancing the business's Compliance, Risk and Governance frameworks. It's a strong entry point into a compliance career, initially quite administration heavy as you get across managing compliance registers, organising and reconfiguring files, and helping keep oversight on policies and procedures. From there the role broadens into monitoring, assurance and stakeholder support as you build your experience.
This is a great opportunity for someone early in their career who wants to build a long term future in compliance and governance within financial services.
RESPONSIBILITIES
- Monitor and maintain the Compliance team inbox, reviewing, prioritising and allocating enquiries
- Maintain compliance registers, governance records and supporting documentation
- Assist with the development, review and maintenance of policies, procedures and governance documentation
- Support the annual policy review and governance calendar process
- Assist with compliance monitoring activities and the oversight of outsourced service providers
- Support the administration and maintenance of governance systems and compliance technology platforms
- Liaise with auditors, consultants, service providers and other stakeholders as required
- Identify opportunities to enhance governance, compliance and operational processes
- Some experience in a governance, compliance, risk or regulatory role within financial services desirable but not essential
- Exposure to funds management is desirable but not essential
- Strong administrative and organisational skills with excellent attention to detail
- Proactive self starter, comfortable managing competing priorities and meeting deadlines
- Strong verbal and written communication skills
- Collaborative team player who is also comfortable working independently
- Proficient in Microsoft Office, particularly Excel
- Bachelor's degree or post graduate qualification in a relevant field
- A great pathway into a compliance career, with the ability to be built up from a relatively junior starting point
- Hybrid working, 2 days from home after probation
- A structured, supportive team environment across risk, regulatory and AML compliance
