Assistant, Compliance

Who we are

Panmure Liberum is the UK's largest independent Investment Bank. We provide a full-service Investment Banking offering including capital raising and advisory, as well as distribution, research and execution services. We deliver excellence and foster real and lasting relationships with our clients – priding ourselves on being straight-talking, loyal and innovative in addressing their needs.

About the role

To provide comprehensive administrative support to the Compliance department. Perform essential administrative tasks whilst ensuring adherence to regulatory standards. Assist in the implementation of compliance policies and procedures. Collaborate with the team to enhance skills and knowledge in the field of financial regulatory compliance.

Responsibilities

• Carrying out daily/monthly/quarterly/annual compliance administrative tasks and control room reconciliations.


• Managing the recording and daily review of appropriate regulatory disclosures.


• Conducting Panmure Liberum’s employee Certification process.


• Maintenance of regulatory & compliance related training register.


• Assisting with the compliance monitoring programme.


• Overseeing and administering maintenance of Panmure Liberum’s insider list records.


• Ad hoc compliance reviews as directed potentially covering all areas of the business.


• Helping to maintain the Compliance filing systems.


• Collating control room data for monthly Management Information reports.


• Assisting the Compliance Function with ad-hoc projects.

Requirements

• 1–2 years’ experience or university placements in an administrative position preferably within Financial Services, Fintech or Professional Services.


• Strong technical ability in Microsoft Office (Outlook, Word, PowerPoint, Excel) and data driven.


• Clear communicator who is comfortable managing stakeholders at all levels.


• Strong written communication skills, including the ability to produce well-structured communications using accurate grammar, spelling and punctuation.


• Excellent attention to detail and always striving for operational excellence.


• Inquisitive and proactive attitude and eager to learn and develop expertise demonstrating flexibility when approaching tasks.


• Capable of working with databases and large volumes of structured and unstructured data sets.


• Organised and able to prioritise key tasks and meet strict deadlines.


• Maintain a calm and methodical approach to troubleshooting.


• Works well in a team setting as well as being capable of working independently.