Feb 14, 2018
In this role, you will be responsible for administering of a number of key Compliance procedures designed to ensure that the firm fulfils its Compliance obligations, and avoids reputational damage. You will get exposure to a wide spectrum of Compliance areas and issues, as well as work closely with various support groups.
Responsibilities of the Role
Code of Ethics
Administrating the firm’s global automated Compliance system for personal trades, outside business interests, gifts and entertainment requests
Compliance Monitoring Programme
Assisting in the execution of the firm’s Compliance monitoring and testing programme
Registrations and Training
Work on FCA, SFC and MAS applications under the guidance of the firm’s Compliance associates
Assist in onboarding new hires and maintain training logs and the access persons list
Control Room
Facilitating wall crossings from initial request to the closing out of a wall crossing period
Maintenance and administration of systems used to restrict staff trading and record wall crossings
Filings and Record Keeping
Organise and maintain all Compliance files and records, including approved marketing materials, investor categorisation records and the breaches log
Keeping current on all corporate Compliance filing requirements/deadlines as directed by the Compliance associates
Assisting in the administration of various hedging reporting and disclosure requirements in Europe, Asia and the U.S.
Deal KYC
Undertaking KYC and anti-bribery corruption and sanctions checks on M&A transactions and co-investors
Group Projects
Work on projects assigned by the Compliance Director
Assisting in developing policies and systems for firm-wide administration of Compliance issues
Assist on the implementation of new Compliance procedures
Qualifications & Experience
Degree qualified; preferably in law, finance or business
Previous experience in legal/ risk/ compliance, preferably within a PE or investment banking environment
Demonstrable understanding of investment banking and/or alternative investment businesses and products
General knowledge of the concepts of conflicts of interest
Have an understanding of risk management and demonstrate the ability to recognise regulatory risks relating to business decisions
Control room experience is an advantage
Skills & Attributes
Ability to work well in a team environment, as well as independently
Strong attention to detail
Excellent communication and negotiation skills
Confidence to challenge information and raise with relevant key stakeholders where necessary
Able to learn quickly
Effective organisational and time management skills
Ability to speak other languages is desirable
Financial Services
London, United Kingdom
Full time