04 Jun 2019

Assistant Compliance Analyst

Ref 32418

A specialist fund administration company is seeking an Assistant Compliance Analyst to join their Compliance team.

Key duties:

  • 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.


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