Compliance and Operations Assistant
- Employer
- Austin Andrew
- Location
- London, United Kingdom
- Salary
- 55,000
- Closing date
- May 31, 2022
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Key Responsibilities
Operations related tasks including:
Experience and education requirements:
Personal qualities:
- 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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