Compliance Officer - Watford

Job type:
Start date:
3 months
Huntress Search Ltd - IT Recruitment
Published at:
flag_no United Kingdom
Project ID:

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A large professional services firm are seeking a Compliance Officer to join their team on a 3 month basis with the potential to go perm, based in Watford.

The successful candidate will have the responsibility for the Pre Clearance of all potential investments. You will be responsible for gathering data, checking and reviewing the outputs related to the personal compliance audits and the appropriate escalation of any issues.

Key Responsibilities

  • Conducting pre clearance checks as per process, and assuming responsibility as a 1st reviewer in the pre-clearance process at an early stage.
  • Reviewing the provided information and documents; liaising with Partners in respect to their investments; accurately recording information within relevant systems.
  • Assisting with carrying out personal compliance audits in accordance with the agreed timescales; Reviewing the provided information and documents;
  • Assisting other team members with wider compliance programmes, eg clearance of the firm's annual confirmation exceptions in your area.
  • Maintenance and Review of the Former Partner external Appointment Register

The Person

  • The ability to work autonomously and take responsibility for own work.
  • Strong project management skills to enable identification of required tasks and deadlines and planning and prioritisation of these tasks in an appropriate manner.
  • Strong team-player who is both supportive and willing to help out.
  • Client-focused approach with a passion for delivering excellence.
  • Excellent written and oral communication skills, ability to communicate with people at all levels and build relationships.
  • The ability to interpret information and identify issues.
  • The ability to work well under pressure.
  • Extremely high level of attention to detail is essential.
  • The ability to handle sensitive/confidential information appropriately.
  • The confidence to challenge the status-quo and provide fresh ideas.
  • Strong knowledge of Microsoft Office applications.
  • Prior working experience in a professional services firm and understanding of investment products are a plus.

If you feel you fit the role above, please apply today.

Due to a high volume of responses we cannot respond to everyone, we can only contact the successful candidates. If we do not contact you within 1 week, please assume your application has not been successful.

Huntress does not discriminate on the grounds of 'protected characteristics' as defined under the Equality Act and other relevant UK legislation.

Huntress acts as a Recruitment Agency in relation to all Permanent roles and as a Recruitment Business in relation to all Temporary roles.

PLEASE NOTE: We can only consider applications from candidates who have the right to work in the UK.