Compliance Officer
- Employer
- Ad Idem Consulting
- Location
- London, United Kingdom
- Salary
- £50k - £60k
- Closing date
- Jul 22, 2022
View more
- Job Function
- Other
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Compliance Analyst
Summary:
Our client is looking for an organised, detail-oriented and dependable Compliance Analyst to be a part of its Compliance team in London. With a unique opportunity to learn about the essential business functions of a regulated investment manager with approximately $20bn in AUM, you will be at the heart of the firm's compliance function. The Compliance Analyst will support the Compliance Officer, working to help develop all elements of associated work streams and frameworks.
Our client is focused on European credit markets, providing bespoke private solutions and opportunistic investments in the public High Yield Bond and Loan markets. Every job at the firm is staffed by hardworking, enthusiastic, and creative team players. We are building a value-driven office community environment that encourages our employees to grow with the business and develop a long term career with the company.
Responsibilities:
• Assisting in establishing and maintaining a risk-based compliance framework, with effective monitoring and remedial action where required
• Preparing initial transaction KYC / AML review
• Aid in preparing and filing regulatory reports such as the FCA GABRIEL filings and the SEC Form ADV
• Helping arrange and deliver general compliance training and other necessary training
• Maintaining internal record keeping system, including restricted list, trade errors log, financial promotions log etc.
• Assisting in evaluating and updating existing compliance policies and procedures and related documentation
• Supporting the Compliance team in preparing for investor due diligence
• Researching industry compliance regulations relevant for the firm's business activities
Skills and Preferred Qualifications:
• Preferably with a compliance qualification
• Experience of working for 2-4 years within compliance in the financial services industry
• Knowledge of financial products and structures, preferably fixed income
• Knowledge of existing and new regulatory requirements and frameworks
• Strong attention to detail, analytical and independent thinker and problem-solver
• Proactive and organized, with an ability to work concurrently on multiple work streams
• Ability to effectively communicate and cooperate with a diverse range of people and work in a team-oriented environment
Summary:
Our client is looking for an organised, detail-oriented and dependable Compliance Analyst to be a part of its Compliance team in London. With a unique opportunity to learn about the essential business functions of a regulated investment manager with approximately $20bn in AUM, you will be at the heart of the firm's compliance function. The Compliance Analyst will support the Compliance Officer, working to help develop all elements of associated work streams and frameworks.
Our client is focused on European credit markets, providing bespoke private solutions and opportunistic investments in the public High Yield Bond and Loan markets. Every job at the firm is staffed by hardworking, enthusiastic, and creative team players. We are building a value-driven office community environment that encourages our employees to grow with the business and develop a long term career with the company.
Responsibilities:
• Assisting in establishing and maintaining a risk-based compliance framework, with effective monitoring and remedial action where required
• Preparing initial transaction KYC / AML review
• Aid in preparing and filing regulatory reports such as the FCA GABRIEL filings and the SEC Form ADV
• Helping arrange and deliver general compliance training and other necessary training
• Maintaining internal record keeping system, including restricted list, trade errors log, financial promotions log etc.
• Assisting in evaluating and updating existing compliance policies and procedures and related documentation
• Supporting the Compliance team in preparing for investor due diligence
• Researching industry compliance regulations relevant for the firm's business activities
Skills and Preferred Qualifications:
• Preferably with a compliance qualification
• Experience of working for 2-4 years within compliance in the financial services industry
• Knowledge of financial products and structures, preferably fixed income
• Knowledge of existing and new regulatory requirements and frameworks
• Strong attention to detail, analytical and independent thinker and problem-solver
• Proactive and organized, with an ability to work concurrently on multiple work streams
• Ability to effectively communicate and cooperate with a diverse range of people and work in a team-oriented environment
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