Trainee Compliance Analyst
Aztec Group
Southampton
5d ago

Reports to Compliance Manager

As a Trainee Compliance Analyst, you will assist, under the direction of the Compliance Analyst / Senior Compliance Analyst, with the execution of the Jersey based Compliance Monitoring Programme.

In addition, you will be required to assist and provide input on various regulatory matters and compliance queries with a view to becoming a key point of contact to the business units Senior Management and, in general to all client facing teams requiring compliance assistance.

Key responsibilities :

  • Assist with all aspects of the Jersey based Compliance Monitoring Programs for a range of licensed and regulated fund structures
  • Assist with information gathering and initial preparation of compliance reports based on compliance monitoring activity
  • Provide support to the Compliance Team with day-to-day compliance activities
  • Assist on day-to-day compliance related queries from client facing teams
  • Assist in the maintenance and monitoring of various regulatory registers, including breaches and complaints
  • Undertake routine compliance housekeeping tasks where necessary
  • Assist in monitoring any regulatory and legislative updates
  • Assist in the maintenance and monitoring of the Jersey Compliance in-box
  • Assist with information gathering and completion of routine Audit queries
  • Establish a working knowledge of key regulations and obligations
  • Skills, knowledge, expertise :

  • Good communication and relationship building skills are required to develop close working relationships with colleagues, clients and business contacts
  • Able to demonstrate a team player attitude
  • The candidate will be expected to study for a relevant professional qualification (supported by the Aztec Group
  • Analytical approach with good research skills
  • Good time management and organisational skills
  • Highly motivated with a can do attitude
  • Attention to detail and accuracy
  • A high level of integrity and professionalism
  • Working knowledge of Microsoft products, in particular Word and Excel
  • We will provide the training, both in-house for relevant technical knowledge and also for professional qualifications, to enhance your ability to provide sound compliance services.

    You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients are at the heart of what we do.

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