A small Asset Manager based in the City of London are looking for an excellent Compliance junior to join their team.
The ideal candidate will be carrying out a range of administrative roles within the Compliance function, but be keen to understand how they fit in to the broader compliance processes and be flexible enough to take on a variety of tasks as required by the team. They will also be keen to learn and develop their skills and knowledge base.
Key duties include:
- Assisting the Risk and Compliance team in maintaining compliance policies and procedures
- Maintain the approval process and record-keeping logs for the Restricted List; Gifts & Entertainment; PA Dealing; Outside Business Interests; Insider/Project List
- Perform post-trade monitoring of IMA guideline restrictions on Bloomberg AIM
- Review e-communication alerts on Bloomberg Vault system
- Organising and maintaining appropriate record keeping procedures and document filing
- Perform AML sanctions checking including testing, setting up new names on World Check, screening and reviewing alerts
It is essential you have Minimum 2 years' experience in a Compliance based role within another buy side organisation and the ability to work well in a fast-paced, small team environment