THE COMPANY: Our client is boutique, independent investment firm, offering services including trading, pension fund management and institutional dealing. THE RESPONSIBILITIES:
* Assist in the implementation and monitoring of the firm’s compliance framework and procedures.
* Support the maintenance of internal compliance registers, including breaches, gifts & hospitality, and conflicts of interest.
* Conduct routine monitoring activities in line with the firm’s compliance monitoring plan.
* Assist with the preparation and submission of regulatory returns to the FCA via RegData.
* Help draft and update compliance policies, procedures, and manuals.
* Monitor regulatory developments and communicate relevant changes to stakeholders.
* Maintain accurate records of staff training and support the delivery of compliance training across the firm.
* Support onboarding processes, including KYC/AML checks on clients.
* Assist in internal and external audits and regulatory inspections as required.
* Provide general administrative support to the Compliance team and Board.
EXPERIENCE REQUIRED:
* Previous experience in a compliance, legal, or regulatory role (ideally within an FCA-regulated firm).
* Basic understanding of FCA regulations and the UK regulatory environment.
* Strong attention to detail and organisational skills.
* Proficient in Microsoft Office (Word, Excel, Outlook).
* Excellent written and verbal communication skills.
* Ability to handle confidential and sensitive information with discretion.
For further information please contact Duncan Jeffery #J-18808-Ljbffr