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UK & Regional
BRUIN Financial are working with a growing Asset Management organisation who are looking for a Compliance Assistant to join their team based in Daventry.
In this role you will be supporting the firms Compliance Manager and develop skills and knowledge in compliance and risk management.
The core responsibilities of this role are:
Maintain compliance registers including, gifts and hospitality, conflicts of interests, data protection breaches, complaints,stop list and outside business interests
Assist with FCA returns and reporting
Collate corporate and individual due diligence
Carry out AML, PEP and sanction checks / monitoring, investigating potential hits and escalating, as required
Deal with KYC requests from third parties
Identify and report suspicious activity to the MLRO and relevant financial intelligence bodies, as required
Prepare management information and identify trends
Assist with firm risk assessments and any identified actions
Assist with the preparation of compliance reports for the Partnership Board and Risk and Compliance Committee meetings
Support firm compliance with GDPR
Ongoing compliance monitoring activities
Assist with operational compliance queries from within the firm and from third parties
Assist with complaint investigations and responses
Support the firms operational resilience and business continuity process
Keep up-to-date with regulatory changes that could affect the firm and proactively suggest improvements to compliance policies and procedures
Any other ad hoc administrative duties required
The candidate should have previous compliance experience within financial services, AML & KYC.
The candidate should be organised, accurate, analytical, show initiative, with excellent IT and communication skills.
For more information, please send your CV for immediate consideration to Josh.Littlemore@bruinfinancial.com
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