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Compliance Assistant Apprentice

Employer
T Bailey Fund Managers Ltd
Location
64-66, St. James's Street, Nottingham, NG1 6FJ
Salary
£12,000.00 annually
Closing date
14 Oct 2020

View more

Specialism
Other
Sector
Unspecified
Role Type
Apprenticeship, Higher
Start Date
October
Duration
Permanent
Undertake a series of predetermined checks to ensure that internal policies and procedures are followed.

Key areas include:
  • GDPR
  • Operational resilience
  • IT
  • Fund accounting
  • Fund governance
  • Transfer agency
  • Conduct file reviews for compliance with AML and CASS regulations
  • Assist with monitoring asset eligibility and regulatory compliance within collective investment schemes
  • Assist with monitoring asset eligibility and regulatory compliance within collective investment schemes
  • Gather data relating to of all aspects of regulated funds' activity
  • Monitor internal dedicated email inboxes to ensure that queries are answered promptly by the team
  • Promote a robust compliance culture and high standards across the firm
  • Assist external auditors with requests for information and data
  • Assist with the preparation of KPIs and MI for internal committees and the TBFS board
  • Assist with the preparation and review of fund manager due diligence
  • Actively participate in the firm's committee meetings, coordinate meeting dates, record meeting minutes and update outstanding actions logs
  • Assist the team with ad-hoc projects and investigations as directed
  • Provide general administrative support


Requirements and prospects

Desired skills

  • Sound mathematical acumen and ability to interpret a variety of data from different sources
  • Excellent IT knowledge (MS Word, Excel, Outlook etc.)
  • Assisting the Compliance team to ensure that any risks are reported
  • Strong written and verbal communication skills
  • Excellent planning and organisation skills
  • Excellent multi-tasking and time-management skills, with the ability to prioritise tasks


Personal qualities

  • Ability and enthusiasm to learn, be flexible and adaptable to changing processes
  • Professional attitude and appearance
  • Ability to communicate with internal and external stakeholders
  • Ability to be resourceful and proactive when issues arise


Desired qualifications

Good Level of education -5 GCSE's at grade C/4, equivalent or above. A Level Qualifications preferred.

Future prospects

Excellent prospects for the right candidate.

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