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Compliance Trainee

Applications are closed

  • Internship
    Full-time
    Placement Program
  • Banking & Finance
  • £30K
  • London

Requirements

  • Jupiter’s Investment20/20 Programme is aimed at school, college leavers and graduates looking to start their careers.
  • We are looking for individuals with the following skills and attributes:
  • Attention to detail orientated
  • Excellent administrative skills
  • Ability to work as part of a team
  • Strong problem-solving skills
  • Comfortable working with numbers
  • Proficiency in Microsoft Office applications
  • Strong interpersonal skills
  • Effective communicators – both written and verbal
  • Ability to organise and prioritise
  • A proactive nature and pragmatic work ethic.
  • We always look for the best candidate for each of our opportunities and have no requirements in terms of educational institute attended, subjects studied, previous experience, or grades achieved.

Responsibilities

  • Three rotations (as selected by you) will be completed during the 2-year placement. The sub-teams you may select from include:
  • Portfolio Compliance – Supporting ongoing fund and client mandate adherence to investment restrictions, this team focuses closely on how we manage clients investments within different financial markets around the world. Each set of client investments (funds and mandates) must be managed in accordance with certain rules which we refer to as investment restrictions. This team works closely with our Investment Compliance team and the investment managers and dealers who are responsible for making investments on behalf of our clients.
  • Investment Compliance – Supporting the Investment Management team and the Dealing Team in all regulatory advice and oversight. Core responsibilities of this team include advising on whether investment management can purchase certain investments on behalf of clients, ensuring that investment management and dealing teams undertaken their activities in accordance with prescribed regulatory requirements such as achieving good outcomes for market transactions and that all clients are treated fairly when transactions are raised. This team is also responsible for monitoring transactions and electronic communications to detect any non-compliant behaviours or identify areas where guidance or training may be required.
  • Product and Client Compliance – Supporting client facing activities through the provision of advice and oversight. Core areas of responsibility include reviewing marketing documentation prior to publication to ensure these meet a prescribed set of regulatory requirements and that content is clear, fair, and not misleading. Working with our product restructuring team to advise on new products and changes to existing products with a view to ensuring any changes are fair and appropriate for our clients. Overseeing how we respond to client complaints and responding to compliance related client queries.
  • Central Compliance– Responsible for supporting the Head of Compliance through the ongoing operation and continuous review of our core compliance framework which governs how and when employees can trade on their personal accounts, approving or declining employee’s receipts of gifts and hospitality provided by professional counterparties and rolling out regular training to ensure all employees are aware of and competent with our many regulatory requirements and processes. This team is also responsible for researching new regulations and ensuring the broader business are aware of these changes.
  • Financial Crime – Responsible for supporting the Head of Compliance through the ongoing operation and continuous review of our financial crime framework which is aimed at preventing against the risk that our business is used to facilitate financial crime such as money-laundering and fraud. Core areas of responsibility include maintaining financial crime policies and procedures, advising the broader business in how to prevent financial crime, investigating suspicions of financial crime, providing training and reporting to our boards and committees on financial crime risks and controls.

Application Process

  • Phase 1:
  • In order that our selection process is objective and data led, we are inviting candidates to complete an online cognitive assessment (approx. 30 mins).
  • This will focus on your ability to perform in core skills including:
  • Numerical reasoning (ability to make correct decisions or inferences from numerical data)
  • Deductive reasoning (ability to think critically and problem solve)
  • Motivation (assessing your motivation for the industry and role)
  • Cultural add (assessing your cultural fit against the firm’s values and behaviours)
  • Phase 2
  • Successful candidates will be invited to complete a short video interview that will focus on a mixture of technical and competency based questions.
  • Phase 3
  • Successful candidates will be invited to two face to face interviews as a final step. Candidates will be given an interview time slot across 15 July – 2 August 2024.

The value of active minds

Finance
Industry
501-1000
Employees
1985
Founded Year

Mission & Purpose

The Jupiter difference Our distinct, entrepreneurial culture is based on giving talented professionals the freedom to pursue their own investment styles within a collaborative environment. Jupiter is a specialist, high conviction, active asset manager. We exist to help our clients achieve their long-term investment objectives. From our origins in 1985, Jupiter now offers a range of actively managed strategies available to UK and international clients including equities, fixed income, multi-asset and alternatives. Jupiter is a constituent member of the FTSE 250 Index. Independence of thought and individual accountability define us. Our fund managers follow their convictions and seek those investment opportunities that they believe will ensure the best outcome for our clients. They do this through fundamental analysis and research, a clear investment process and risk management framework, with a focus on good stewardship. We believe that asset managers have a critical leadership role to play in helping to resolve some of the greatest challenges facing the world. In this spirit, we are proud of our long-established credentials in the fields of ESG and sustainable investment, and of our ongoing commitment to specialism and innovation in these areas. Jupiter is a constituent member of the FTSE4Good Index, and a signatory on a number of key initiatives such as the UN Principles for Responsible Investment.