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Job Specification

Break into Compliance – Law Graduate

£30K - £35K + Bonus + Bens | West End
Ref: 3466J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

Our Client, a niche Investment Management Firm, is looking for a Junior Compliance Associate to join their team.  Full on the job training will be provided and you will be entrusted to run the Compliance Monitoring Programme (CMP).  Reporting to the Global Head of Compliance, duties will include;
• Ensuring that the CMP accurately reflects and tests for the compliance risks to which the business and its funds are exposed
• Conduct routine PA Dealing & Gifts monitoring and approval
• Carrying out CDD/KYC checks for new funds and counterparties
• Ensuring the business remains abreast of the latest sanctions
• Conducting best execution monitoring on a regular basis, including liaising with the Investment Personnel to resolve any execution issues identified
You should have a minimum 2:1 in Law with the desire to forge a successful career within Compliance.  Although full training will be provided, you should possess excellent communication and interpersonal skills with a keen eye for detail.
In the first instance please email your details to Darren Ruskin at [Please no calls for this or any other break in roles]

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