Junior Compliance Officer & Junior Financial Analyst

City of London, London
£30000 - £35000 per annum
12 Feb 2019
26 Feb 2019
Tom Eaton
Job role
Contract type
Part time

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.


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.


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.

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