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Compliance Officer ( Trainee )

  • Location


  • Sector:

    Investment Advisory

  • Salary:

    17,000 - 22, 000 Euro

  • Contact:

    Tijana Tufek

  • Job Reference:


  • Published:

    about 1 month ago

  • Expiry:


  • Client Details:


  • Consultant:

    Tijana Tufek

Unfortunately this job has now expired. However you can view all of our Live jobs here.

Well established investment advisory firm is seeking to emply a  Compliance Officer (Trainee)  who will be mainly responsible for the general administration of compliance processes, ongoing monitoring and review of client reports, performing audit activities while also providing on-going support to the Compliance Team. The intention of this role is to gradually develop the said individual into the role of a fully-fledged Compliance Officer.

Job duties include:
  • Compliance checking of client reports prior to them being issued by partners and/or advisers to clients or prospective clients.
  • The undertaking of Compliance audits in line with those identified through the Compliance Monitoring Programme, which include the regular review of financial promotions, marketing material, client report manuals (CRMs) and investment reports along with other relevant documents.
  • Implementation of controls in order to prevent money laundering.
  • Monitoring, recording and dealing with official complaints against the group.
  • Supporting the Compliance Department in the client onboarding and screening process.
  • Supporting the Compliance Department in the administration of compliance affairs.
  • Supporting the Compliance Department in maintaining corporate documents. A
  • Assisting in the coordinating and arranging of Internal Compliance Meetings.
  • Performing and supporting in administrative work relating to one off projects.
Skills and Qualifications required:
  • Minimum Diploma or Introductory course in Compliance or relevant field; Law, Criminology etc.
  • IT Literacy Qualifications
  • Excellent interpersonal and communication skills
  • Excellent organisational skills
  • Excellent time management skills