Overview

This is an opportunity for an enthusiastic candidate to work in “fintech” for a firm with a global presence and significant growth aspirations in  EMEA, to develop regulatory knowledge and experience including in the important field of handling client money and assets.   Solium are committed to hiring, supporting and developing talented staff.  We will be most interested to receive applications from candidates with a compliance or audit background in financial services including administrators of these functions.  We reward our people with a competitive compensation and benefits package and a fun, flexible work environment.

Responsibilities:

  • Supporting the Firm’s Head, EMEA Compliance with execution of compliance activities within the Firm, including, but not limited to, the following:
  • CF10a support
    • Owning agenda for Client Assets Committee (CASSCO)
    • Taking minutes of CASSCO meetings and following up on actions;
    • Owning CASS calendar, tabling items for CASSCO review;
    • Completing first review of Filings to FCA;
    • Carrying out Compliance monitoring in accordance with the risk based plan;
    • Working collaboratively with colleagues in other departments.
  • Monitoring breach register and escalating open items;
  • Supporting CF10a with updates and maintaining CASS Resolution pack;
  • Supporting Compliance Oversight and Money Laundering Reporting , which may include responsibilities such as:
    • Managing the quarterly compliance confirmation;
    • Distributing to departments to complete
    • Addressing pertinent questions
    • Completing initial review and escalates issues to Head, EMEA Compliance
    • Managing quarterly employee certifications
    • Distributing and confirming completion by all staff
    • Escalating any issues to Head, EMEA Compliance
    • Supporting Anti-Money Laundering training and testing for all affected employees, ensuring completion by prescribed deadlines
  • Liaising with cross-functional teams to ensure FCA filings are completed on time as required
  • Owning the filing and maintenance of compliance materials within relevant compliance network drives
  • Supporting CASS and compliance audits externally, including:
    • Coordination of materials required
    • Facilitation and minutes of meetings
  • Acting as primary contact for Compliance EMEA mailbox, facilitating responses to inquiries as appropriate
  • Working closely with Solium’s Learning and Development team to ensure appropriate training materials are available to affected employees

knowledge & experience:

We would like applicants to have, or be willing to develop the following;

  • Good knowledge of the FCA Handbook;
  • An awareness of CASS;
  • Prior experience of working in a compliance or audit team ideally in financial services, including administrative support to these functions;
  • Proficiency with technology including but not limited to the Microsoft office suite and Excel;
  • Comfortable working in a meritocratic structure;
  • Effective communication across the organization;
  • Strong analytical, attention-to-detail, and problem solving skills;
  • Organised, to plan and manage workload and meet deadlines;
  • Comfortable in a fast-paced and evolving environment which includes ongoing learning and training opportunities.

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