Compliance Coordinator - London, United Kingdom - Davies Group

Description

To support the Asta-DIS compliance function with day-to-day activities, assisting in the delivery of the compliance plan (including associated monitoring, reporting and administration) and in the provision of information and assurance regarding the firm's compliance with relevant regulation.

Key tasks

• Responsible for monitoring the Compliance inbox and calendar and escalating matters as appropriate within the team and wider business.
• Establish a Compliance action list, monitor and follow up with colleagues and managed clients for closure aligned with pre-determined deadlines.
• Assist the Compliance team in arranging regular and ad hoc meetings with clients, arrange internal cluster meetings and other internal meetings, taking notes and actions where required.
• Take ownership of the broker due diligence and monitoring process.
• Be responsible for the completion of the Compliance team's monitoring logs, such as sanctions referrals, complaints and broker remuneration.
• Assist with collating information for relevant reporting papers including updating charts and tables as appropriate.
• Provide support to various members of the team, getting involved in ad hoc tasks and projects as and when they arise.
• Provide reliable information, analysis and guidance to the Compliance team in support of day to day activities.

Key personal skills required

• Great organisational skills with the ability to prioritise their own work load
• Great interpersonal skills – and the ability to liaise with various stake holders of all levels
• Ability to establish new processes for monitoring actions and chasing completion where required
• Self-motivated with ability to work remotely
• Good team player
• Accurate with attention to detail

Key technical skills, knowledge and professional qualifications required

• Previous work experience in an office environment
• Good experience of Word, Excel and PowerPoint
• Excellent interpersonal skills