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Compliance Associate - Boutique Investment Bank

Graduate at Robert Walters

Compliance Associate - Boutique Investment Bank

Graduate at Robert Walters

  • LocationLondon, UK
  • Position levelGraduate
  • Job period iconFull-time employment
  • Application deadline iconApply by 31 Dec, 2018
  • Application deadline iconPosted on 01 Nov, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • CompetitiveCompetitive
A global Boutique Investment Bank is looking for a generalist Compliance Officer with circa 2-4 years of experience to join their growing and exciting London Compliance team as a Compliance Associate. Looking for established Compliance professionals with experience with Monitoring, Transaction Reporting, PA Dealing and/or OBIs
A global Boutique Investment Bank is looking for a generalist Compliance Officer with circa 2-4 years of experience to join their growing and exciting London Compliance team as a Compliance Associate. Looking for established Compliance professionals with experience with Monitoring, Transaction Reporting, PA Dealing and/or OBIs
Compliance Associate - Boutique Investment Bank responsibilities
Client onboarding / KYC
* Proactively managing, assisting and advising the deal teams with the KYC process.
* Performing risk assessments, client categorisation, PEP approvals, LexisNexis checks, etc.
* Assisting with the automation of the KYC process, using the SalesForce CRM
Transaction tracking and administration
* Maintaining and updating the deal database using the SalesForce CRM system
* Tracking active deals and ensuring compliance with the regulatory framework
* Organising and participating in deal status conference calls with the business lines
* Managing insider lists, restricted list, access rights, etc.
Compliance monitoring programme
* Assist with the timely production of standardised bi-annual compliance reviews across HL's ten jurisdictions in the EMEA region.
Ad-hoc tasks / projects
* PA dealing, outside business interests, FCA registrations and reporting, staff training, company secretarial tasks, audit requests, ad-hoc queries, etc.
* Potential participation in the following projects: Brexit restructuring, SMCR compliance, GDPR
Compliance Associate - Boutique Investment Bank experience:
* Degree level education or of graduate calibre.
* Excellent organisational, oral and written communication skills.
* A positive and responsive service-oriented attitude, with the ability to take initiative, prioritise workload and meet deadlines in a timely manner.
* Self-starter with a strong sense of ownership and a personal commitment to continuous improvement of policies and procedures.
* Confident, with an outgoing personality, and an ability to effectively interact with staff at all levels and maintain confidentiality.
* Competent user of Microsoft Office products, including Excel, Word and PowerPoint.
* Fluent in English; other European languages may be beneficial.
* Circa 2 - 4 years experience with increasing responsibility levels, gained in the legal and compliance arena.

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Job location

11 Slingsby Pl, London WC2E 9AB, UK

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