Responsible for a wide range of operational tasks to ensure the Risk and Compliance function works efficiently. Working closely with the other Compliance Operations Officers in Glasgow and Sydney and the Manager based in London to ensure the Firm meets its Risk & Compliance obligations. This role will involve exceptional attention to detail, the ability to work efficiently on a number of systems and a general understanding of Risk and Compliance matters. Main responsibilities:
Risk and Control:
- Maintaining and updating our Information Barriers and Insider Lists systems, monitoring activity and updating details as required
- Assisting the business and also Compliance Team members on Risk & Compliance procedural and system issues as and when they arise.
- Running reports on Risk & Compliance systems as and when required.
- Assisting the other members of the Compliance Operations Team in any tasks or project they requires assistance with.
Ensure that all activities and duties are carried out in full compliance with our regulatory requires and internal policies. Essential skills and experience:
Proactive approach to problem solving
Discreet and professional as the information handled will be confidential and sensitive.
Quick learner and technology/software conversant.
Exceptional attention to detail.
Personable need to be comfortable liaising with colleagues and the business over the phone.
Ability to multi-task and work efficiently to meet deadlines, whilst dealing with high volumes of items and tasks.
Desired skills and experience
Has some previous administrative/support experience in a professional environment
Our Culture is shaped by our core values of Collaboration, Excellence, Innovation, Integrity and Accountability. They guide how we relate with each other, our clients, our behaviour.