Wednesday 21 August 2019
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Compliance Assistant, Inv Business

Compliance Enquire


Hours:Full Time

Full Description

This is a very exciting opportunity to join a fast paced investment firm. This role would suit someone at the beginning of their compliance career, or perhaps with a couple of years experience. You will be exposed to a wide range of compliance duties rather than becoming pigeon holed. You will also be given the chance to develop your expertise, with excellent career progression possibilities.

Job Description

You will provide assistance and support to the Jersey Compliance team in order to:

  • Maintain compliance policies and procedures;
  • Maintain compliance monitoring registers;
  • Collate and submit legally required returns (e.g. National Risk Assessment/risk data submissions, bi annual manpower returns and annual International Service Entity registration)
  • Undertake a variety of compliance monitoring and testing to assist the business to ensure compliance with relevant Jersey regulatory and legislative requirements;
  • Undertake investor AML file reviews to update records
  • Ensure the compliance training database is kept up to date with current employees across all offices and ensure compliance training is issued and undertaken within agreed deadlines;
  • Provide ad-hoc cover for specific tasks generally performed by the London Compliance Team; and
  • Assist with general compliance administrative tasks

Experience & Qualifications

  • 2-3 years compliance, legal, finance or office experience
  • An interest in compliance related workstreams and processes (whilst compliance experience is preferred, personality and attitude are paramount)
  • Attention to detail is essential
  • Excellent organisational skills
  • Self-motivation
  • Capability to prioritise workload and meet deadlines
  • Team player
  • Confident user of MS Office (Word, Excel, Outlook, PowerPoint)
  • Willingness to learn and develop a work ethic to suit the business
  • Ideally holding or studying towards a relevant compliance related qualification (or be willing to enrol on such a course)
  • Fluency in English
  • Energy and drive, this business operates in a fast paced environment
  • Dependability
  • Stability/reliability
  • A good team player
  • Ability and willingness to learn from mistakes
  • Client focused and committed to delivery
  • Trustworthy and integrity
  • Positive attitude and willingness to help
  • Ability to work independently
  • Excellent listening skills
  • Approachability
  • Lots of common sense

Salary: Highly negotiable and dependant on experience

If you are interested in this role or would like more information, simply contact Colin on 767053 for an informal confidential chat, or email your CV in total confidence

For more information please visit

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