Operations / Front Office Support / Compliance

  • Salary:£40,000-£50,000 per annum Bonus and benefits
  • Location:London West End
  • Term: Permanent
  • Posted:06 Oct 2015
  • Tiger Job ID:DMASSPART2

This Mayfair based boutique Wealth Management firm are looking for a bright candidate, ideally with financial services experience to join this small team. The role is incredibly varied and will involve Front Office support (account openings), Office Management, EA, HR, Events, Marketing and Relationship Management. The role is very diverse and would suit someone coming out of an Investment Bank who is looking to be part of a smaller and close-knit outfit or someone who has been working for another Wealth Management firm. Please see listed some of the key duties and send through your CV if interested. It is a lovely team - you are well looked after here.

Operations, Risk

  • Identifying financial and operational risks within the business;
  • Deal settlement checks;
  • Marketing and website management:

    • I designed all company forms; and
    • I was also involved extensively in the initial marketing for the company and ran a website/marketing project with the Executive Chairman.

  • CRM Implementation;

    • I selected and implemented the company’s current CRM system based on our specific needs.

  • Created policies and procedures regarding the company’s business structure as follows:

    • Business Continuity;
    • Disaster Recovery; and
    • Errors and Incidents.

  • Office Manager;

    • I am responsible for all administrative duties of the office. I have organised and negotiated all our third party supplier contracts; and
    • I settle all company bills and make sure they are paid on time such as rent, rates, legal fees and general staff expenses;

  • Event Organiser;

    • I helped organise a very successful wine tasting event with a well-known BBC wine expert.

  • HR;

    • I am responsible for basic HR functions such as starter’s/ leaver’s process, travel requests and holiday/ sick leave.

  • Ad Hoc Compliance

    • I review client on-boarding documentation.

  • I am responsible for accounting and book keeping:

    • Client invoicing;
    • Bank reconciliations;
    • Manual journals;
    • Book keeping; and
    • Settlement of company bills.

  • Selected and implemented our current CRM system;
  • Data loss prevention processes such as Mobile Device Management (MDM);

    • I selected the company’s current MDM tool and monitor all registered MDM devices.

  • Responsible for restructuring the safekeeping of company electronic data;

    • I have identified the potential risks of our current cloud based shared drive and have chosen another third party supplier that complies with the Data Protection Act 1998.

  • E-mail management;

    • I administer all company e-mail accounts and have switched to a different license in order to implement litigation hold as necessary by the FCA.

  • Telecoms;

    • When needed I help the company monitor all our recorded calls as required by the FCA.

  • Account Openings at various banks (Julius Baer, Credit Suisse, UBP Bank of Singapore and UBS);

    • I have opened difficult Russian and Middle Eastern PEP accounts that require an extensive amount of detailed enhanced due diligence; and
    • I have help set up fuel accounts for our client’s airplanes.


IT & Telecoms Oversight and support

Front Office

  • Account Openings at various banks;

    • I have opened difficult Russian and Middle Eastern PEP accounts that require an extensive amount of detailed enhanced due diligence; and

  • I have placed trades on behalf of clients with various banks; and

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