The purpose of the role is to provide day to day compliance administration support to the Client Services and Fund teams, including CDD reviews.
– Assist client facing teams in determining CDD requirements and reviewing CDD.
– Refer non-standard CDD issues to the Compliance Manager for review.
– Undertake client file reviews to ensure compliance with requirements.
– Assist with preparation of regulatory returns.
– Assist with reviewing new advertising/promotional material for adherence to applicable regulations.
– Assist with reviewing Fund Governance, Scheme Particulars / Offering Documents for adherence to applicable regulations.
– Assist with Intermediary/Fund broker appointment process and review ongoing Intermediary/broker arrangements.
– Help promote an effective Compliance and Risk Awareness culture.
Skills & Experience Required:
– Already hold or be working towards a relevant qualification, i.e. ICA, Governance, Compliance qualification
– Language skills in French or Italian would be an advantage
– Experience of fiduciary and funds service operations
– Experience of compliance, risk and/or internal audit operations
– Understanding of regulatory regimes