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Compliance Administrator

Full Time
Greater London
16-03-2022 04:34 PM

Prime Purpose of Role

The jobholder is responsible for supporting the Compliance team to ensure that the  Group and in particular the UK regulated entities comply with applicable statutory and regulatory requirements.


Principal Duties And Responsibilities


  • Assisting with the maintenance of the compliance system: providing approvals, carrying out administrative tasks and providing support to employees and guidance to new joiners
  • Reviewing financial promotion and marketing materials from a regulatory perspective
  • Undertaking regular compliance monitoring tasks including fair allocation and best execution
  • Responding to a variety of requests received in the Compliance inbox – which includes Compliance certifications, providing responses to RFP questions, reviewing cross trades etc
  • Assist with investment restriction arrangements, able to respond to  questions re investment guidelines and restrictions and whether particular instruments are permitted within client mandates etc
  • Maintaining incidents log, complaints and other compliance registers
  • Handling wall crossing and market sounding notifications, maintaining restricted lists and various regulatory reports
  • Assisting with AML KYC requests relating to the firm
  • Assisting in other Compliance departmental duties


Key Skills

  • Two – three years’ relevant experience in a compliance team within an asset management firm
  • IT literate, competent with Excel, Word and PowerPoint
  • Experience of using the STARCompliance system
  • Experience of using an investment restriction system
  • Excellent communication skills – ability to deal with all levels of staff
  • Tactful and diplomatic
  • Desire to carry out a varied role and to learn and develop within a small Compliance Team
  • Be proactive, organized, practical and flexible
  • Resilient and resourceful, with the ability to thrive under pressure

Fergus Hooley


07425 325267