Job Title: Compliance Officer Assistant
Broadgate have partnered with a rapidly growing independent third-party Management Company authorized to hire a Compliance Officer Assistant. This role will report to the Chief Risk and Compliance Officer and play a crucial part in ensuring the company's legal integrity and reputation are preserved while adhering to industry rules and regulations.
This is an exciting opportunity for a proactive and curious individual to join an organisation that values transparency, commitment, and integrity.
- Provide advice and support to staff on various compliance-related matters, including Management Company governance, AML/CTF, MIFID, FATCA/CRS, QI, Data Protection, etc.
- Lead on internal Due Diligence and AML databases (e.g., Cascade, WorldCheck), as well as CSSF applications.
- Handle AML/KYC reviews on clients, counterparties, delegates, and asset portfolios.
- Maintain and update the Compliance Monitoring Plan, by conducting regular compliance checks and controls.
- Stay updated on new laws and regulations that could impact the business and anticipate compliance risks.
- Providing compliance assistance to all departments, including analysing compliance issues, conducting research, and preparing opinions, articles, or other related documents.
- A master's or bachelor's degree in a technical discipline.
- 3-4 years of experience in a similar role within a Management Company.
- Extensive knowledge of the regulatory framework, including UCITS, AIFMD, and CESR/ESMA guidelines.
- Proficiency in office software, particularly Excel, Word, and PowerPoint.
- Advanced knowledge of Excel for handling and managing large datasets.
- Proficiency in English and/or French (Fluency is required), and Italian is an asset.
- A proactive, flexible, and curious attitude with a strong willingness to learn.
Please apply and a consultant will be in touch.