A specialist fund administration company is seeking an Assistant Compliance Analyst to join their Compliance team.
- Execution of the Compliance Monitoring Programme for several licensees, collective investment schemes and fiduciary clients
- Assisting the Compliance Officer in preparation of Compliance Monitoring Programmes
- Drafting of compliance reports for various clients as requested from time to time
- Assisting the Compliance Officer in maintenance of Company Policies and Procedures Manual
- Recording breaches and maintaining the breaches registers
- Maintain the gifts register, complaints registers, data breach logs and subject access request logs
- Assist the MLCO with AML reporting and monitoring
- Conduct routine CDD spot checks
This role would be suitable for an individual who has experience in a junior Compliance position or a wider administrative and client due diligence post within the finance industry and who is looking to progress to the next level.
A good understanding of AML/CFT requirements and familiarity with client/investor due diligence is required. Exposure to fund structures would be an advantage but is not essential.