Assistant Compliance Officer
- London, England, United Kingdom London England GB
- Permanent, Full time
- Jupiter Asset Management Ltd
- 20 Apr 18 2018-04-20
In this role you will develop and execute the Compliance Monitoring Plan covering a wide range of monitoring reviews as well as regular surveillance activity, as required by the various business areas within Jupiter. The role will also provide support to the maintenance of the regulatory risk assessment process from which the monitoring plan and timetable are derived.
• Perform monitoring tests in accordance with the Compliance Monitoring Programme.
• Identify non-compliant issues and/or potential risk areas as a result of the monitoring performed.
• Document the monitoring work undertaken and issue report findings to the Head of Compliance Monitoring and/or other departmental heads, managers or staff as appropriate.
• Make recommendations for the resolution of issues identified and consult with relevant staff.
• Monitor unresolved issues and escalate to the Head of Compliance Monitoring.
• Identify breaches, collate supporting documentation and enter the breach into the relevant breach log.
• Update and score the Compliance risk assessments for areas of responsibility.
• Maintain strong working relationships with departmental heads, managers and staff.
• Carry out ad-hoc projects as required.
• Compliance monitoring experience, ideally with transfer agency and fund accounting knowledge
• Previous experience using DSTs ‘FAST system’ particularly from a compliance monitoring perspective
• Knowledge of the CASS handbook desirable
• Other experience of asset management and the COBS handbook would be an advantageous
• Ability to work to tight deadlines.
• Excellent communication skills (both verbal and written).
• Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.
• Educated to degree level or equivalent (preferred).