Compliance Assistant
The Company
Our client is a young investment management company committed to offering investors outstanding returns. We are seeking to recruit an additional team member to join the retail compliance team. You will be responsible for conducting periodic monitoring, primarily in relation to transfer agency for a range of UK authorised collective investment schemes. This will involve oversight of internal departments as well as third party administrators (IFDS).
The Role
Key Responsibilities Assisting other members of the team with the timely completion of compliance reviews as per the monitoring programme (Primarily in relation to oversight of fund accounting and transfer agency for a range of collective investment schemes) Logging breaches and working with other team members to identify trends, and complete reporting to the depositary/ trustee Logging of Suspicious Activity Reports for AML/ Fraud and assisting with investigation Maintaining FSA publications log Provide cover (training will be provided if necessary) for compliance marketing team re. approval of basic financial promotions and client communications A basic understanding of retail funds financial services, including OEICs, unit trusts, PEPs and ISAs would be beneficial, as would some understanding of the key provisions of the FSA Handbook, HMRC and other relevant UK legislation as it applies to retail funds administration. Candidates should have at least 12 months relevant compliance experience. Experience / Skills Technical Minimum A level education or equivalent. Working Knowledge of Microsoft Suite
Salary & Benefits
£30,000 - £35,000
Robert Half International will only consider applicants who hold the required visas for work in the United Kingdom. Robert Half Ltd is acting as both an employment business and an employment agency.
Salary: £30000 - £35000 per annum + Excellent Package
Contact Name: Samantha Bullion
Email: samantha.bullion.65766.559@rhi.aplitrak.com
Phone: 0207 562 6500