Purpose of the role:
To work with the Governance, Risk & Compliance team in providing an effective compliance function which supports the client teams in the best interests of the Company.
Responsibilities:
- Regulatory - assist with the scrutiny of clients and contacts against external databases; assist in maintaining the Company’s formal registers
- Inspections/Audits - assist Governance, Risk & Compliance Management in preparing for inspections carried out by the JFSC, any Internal Audits and the Company’s external audit
- Monitoring - assist with monitoring of operational performances in line with the rolling programme of monitoring set up by Governance, Risk & Compliance Management
- Record-keeping - assist in the maintenance of the compliance records