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.

Client Details

An Investment Management business based in the City.

Description

Junior Compliance Officer

Responsibilities include:

• 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

Responsibilities include:

• 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.

Profile

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.

Job Offer

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.