Junior Compliance Officer & Junior Financial Analyst
A Junior Compliance Officer and Junior Financial Analyst is required for a Investment Management business based in the City.
An Investment Management business based in the City.
Junior Compliance Officer
- Monitor the Company's compliance with FCA related matters.
- Ensure regulatory filings are completed on time for the FCA other regulatory bodies.
- Coordinating with external compliance consultants in relation to the UK FCA regulated entity.
- Prepare trade monitoring and best execution.
- Assist in compiling the annual Compliance Officer and MLRO reports for the Company's annual meetings.
- Organise and coordinate the periodic board of director meetings for the various entities.
- Work with our service provider on FATCA and CRS reporting.
- Compliance tasks and research for the SPC and Advisor including analysis of legislation and regulations.
- Communication with the regulators.
- Perform AML and KYC due diligence checks on counterparties and maintain up to date records and communicate with the MLRO and AMLCO.
- Review and update the compliance Manual policies and procedures in line with existing and new legislations.
Junior Financial Analyst
- Assist with monthly and quarterly reconciliation of Funds' NAV statements as prepared by the third-party Administrator.
- Preparation of SPV accounts throughout multiple jurisdictions.
- Assisting auditors and service providers with year-end audits of the Funds and the UK Company.
- Prioritising and opening multiple brokerage accounts, custody accounts, currency cash accounts, trading lines which will require thorough understanding of group entities and relevant compliance documentation.
Skills and Experience required:
- Industry experience, demonstrating increased responsibility.
- Numeric capabilities.
- Accounting, Finance, Math background an advantage.
- Advanced Excel (Pivot Tables, Index/Match) and ability to develop Excel based financial models.
- Proven track record of operating in a high-performance environment, continuously achieving high level results, goals and objectives.
- Good working knowledge of asset classes and infrastructure an advantage.
- Compliance experience an advantage.
Qualities and Behaviours required:
- Organised detail and results oriented.
- Ability to work in an intense environment.
- Take initiative and be accountable for their work and actions.
- Innovative and creative.
- Team oriented.
- Personable, confident, credible and communicate with integrity.
- Excellent written and verbal communication
- Adaptable to change.
- Represent the Company in a professional manner with the focus on maintaining the Company's reputation and brand.
Salary: £30,000 to £35,000 per annum
Bonus: Subject to individual and Company performance, no guarantee.
Benefits: Medical insurance subject to passing the probation period indicated in the Employment Agreement.
Holidays: 25 days in addition to public holidays.