Compliance and Operations Assistant

Austin Andrew
London, United Kingdom
26 May 2022
31 May 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Key Responsibilities
  • Managing the ongoing compliance and administration of the Firm's UK Data Privacy procedures in accordance with the UK General Data Protection Regime (GDPR) including data processing maps;
  • Assisting the outsourced German DPO with ensuring ongoing compliance with the Firm's European GDPR obligations;
  • Managing the Firm's European supplier onboarding according to relevant compliance and regulatory requirements including:
  • o Managing supplier due diligence to ensure compliance with GDPR, UK Modern Slavery Act and anti-money laundering legislation;
  • o In coordination with the Legal team, reviewing supplier contracts and contractual wording to ensure they are in compliance to GDPR;
  • Managing UK and European data protection regulator registrations, in coordination with the outsourced German DPO;
  • Assisting the European Compliance team with compliance monitoring activities and reports;
  • Managing day to day Compliance administrative tasks on behalf of the European Compliance team, in particular, conflict/sanctions checks for all European offices) and central file upload management
  • Coordinating the Firm's SMCR Certification and European Fitness and Propriety Assessments in collaboration with Senior Managers and HR;
  • Managing the FCA Certified staff register and any SMCR Senior Manager applications through the FCA Gabriel Portal;
  • Managing the European Business Continuity Plan, monitoring and testing; and
  • Preparing Compliance training materials and maintenance of the training register.

Operations related tasks including:

  • Fulfilling HR monitoring activities, updating trackers, records and databases;
  • Coordinating the onboarding/off boarding of all European new joiners;
  • Scheduling the inductions of all London based new joiners;
  • Responding to employment and regulatory reference requests;
  • Coordinating the London internship programme in collaboration with the banking team;
  • Coordinating the Firm's recruitment process and events;
  • Managing probationary period process;
  • Coordinating the annual appraisal process for the European
  • Coordinating the European training programmes in collaboration with the training committee;
  • Coordinating the annual European graduate analyst programme in collaboration with the training committee, including managing all professional CISI Exam bookings
  • Completing office surveys and HR Analytics reports for Senior Management
  • Coordinating Firm wide entertainment and social events.

Experience and education requirements:

  • Must have experience working in a financial services firm regulated by the Financial Conduct Authority (FCA);
  • Working knowledge of the UK FCA Senior Managers Certification Regime and UK General Data Protection Regime.
  • Experience completing regulatory compliance checks, particularly proven experience in conducting conflict/sanction checks in accordance with UK and European Anti Money Laundering guidelines;
  • A degree or partial degree in Economics or Business is preferred but relevant work experience is essential.

Personal qualities:

  • Exceptional organisational and communication skills;
  • Proficient in using Microsoft products including Powerpoint, Word, and Excel;
  • Working knowledge of systems (or equivalent) including Workday, Lexis Nexis and TranspariNT is preferable, but not essential.
  • Proactive team player with strong people and problem solving skills;
  • An ability to maintain confidentiality and act with discretion and diplomacy; and
  • Self-motivated and able to work under own autonomy or as part of a team.

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