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
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Undertake a series of predetermined checks to ensure that internal policies and procedures are followed.
Key areas include:
Requirements and prospects
Desired skills
Personal qualities
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.
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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