Junior Compliance Officer Fixed Term Contract

Job Description

Role Title : Junior Compliance Officer - Fixed Term Contract

Client Summary : Our client is a leading financial services firm renowned for its innovative investment strategies. With a commitment to excellence and a forward-thinking approach they are dedicated to modernizing their operations and ensuring robust compliance frameworks. This is an opportunity to join a dynamic team that values both tradition and progress contributing to the integrity and growth of a respected industry player.

Job Description : Embark on a rewarding career path as a Compliance Administrator within a forward-thinking financial services organisation. This role offers a unique opportunity to play a pivotal part in strengthening compliance functions and ensuring operational excellence. You will be instrumental in maintaining critical compliance processes managing essential documentation and supporting the companys commitment to regulatory adherence. This position is ideal for a detail-oriented individual seeking to grow their expertise in a supportive and progressive environment contributing directly to the companys ongoing success and reputation.

Responsibilities :

• Oversee and execute daily FICA refreshes and ongoing customer due diligence processes.
• Maintain and manage the client contracts database ensuring accuracy and accessibility.
• Facilitate the smooth flow of legal and compliance documents within the investment division.
• Manage and update key registers including the PA trading register.
• Administer and track FAIS representatives documents and registrations.
• Address and resolve general administrative queries related to compliance.
• Collaborate with the compliance manager to prepare essential reporting for management and regulatory bodies.
• Act as a liaison between internal stakeholders clients and the compliance team.

Requirements : Must-Haves :

Nice-to-Haves :

Required Experience :

Junior IC

Key Skills

Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000

Employment Type : Full-Time

Experience : years

Vacancy : 1