Junior Compliance Executive
Mondrian Investment Partners is one of London’s largest employee-owned investment managers with over $55 billion managed in long-only, value-style global and emerging market equity and fixed income mandates.
At Mondrian, we pride ourselves on maintaining our entrepreneurial, family-like culture, where everyone is made to feel part of the company’s success. We currently have 140 London based employees, located in the heart of the City of London, made up of our investment team, global client service team and all operational functions. We have a very strong retention rate for grads, but also overall as over 50% of our employees have been with us for over 10 years!
About the role
You’ll become part of a small, dynamic, trusted team currently comprised of five people. In this varied role you will support and help facilitate all areas of the business and be involved in the provision of essential services to them (including C-suite, investment, marketing trading) with the chance to obtain deep understanding of regulatory requirements, risks and operations of the business. You’ll be in a team at the front line of changes to the global market and impact on financial services.
Working directly with clients, global regulators and markets, you’ll also be given opportunities to develop deep analytical skills and judgements. If you are proactive, solutions-focused and organsied, Mondrian would love to hear from you.
Key purpose of the role
- To perform day-to-day work in the Compliance & Risk team relating to the regulatory and client demands on the business.
- Support the team by adding value using strong organisational, communication and research skills.
- Maintain good working relationships with both internal and external clients and third parties.
- Compliance Monitoring Programme (“CMP”): Engage in compliance reviews across the business.
- Guideline Compliance Process (LVTS): various duties related to ensuring that Mondrian’s guideline compliance controls remain effective.
- Personal Account Dealings: various duties related to Mondrian’s personal account dealing including, providing advice on these arrangements to staff, assisting in the operation of the PTA Connect system, issuing periodic certification requests, maintaining the PTA Connect records and other general duties associated with Mondrian’s Code of Ethics Compliance.
- Shareholding Disclosures: assisting in Mondrian’s reporting requirements regarding shareholding disclosures.
- Regulatory Intelligence: keep up to date with regulatory and industry developments, which may impact Mondrian’s business and ensure that these are documented for reference.
- Projects: ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
- Client Interaction: assist with client compliance & risk enquiries e.g. general compliance reporting, due diligence questions, contract renewals and compliance certifications.
- Risk Framework Maintenance: assisting with the risk framework to reflect key company risks.
- Errors Process: assist in ensuring that errors are properly addressed i.e. investigating cause, validating business proposals and looking for further enhancements.
- Support: Provide back up support to other Compliance & Risk staff in areas such as Breaches, Errors, Complaints and Gifts Registers.
Compliance and Anti-Money Laundering
- Compliance with all Mondrian regulatory requirements, including anti-money laundering regulations.
- Perform additional duties and other functions as may be required from time to time in order to assist in the business of Mondrian or any Group Company and meet the requirements of the business.
We look for candidates who are eager to make an impact and fulfil the below requirements:
- Available to start ASAP
- Have a 2:1 degree or above
- Have completed an internship in the professional, legal or financial services sectors
- Have a genuine interest in the investment management industry with a focus on Compliance and Risk
- Confident and proactive with solutions focused attitude
- Able to take ownership of their work through effective planning, organisation and attention to detail
- Have a strong numerical mindset
- Able to collaborate and communicates efficiently and effectively within a team
- An interest in developing knowledge in Compliance and Risk
We offer a highly competitive graduate benefits package, including, but not limited to:
- £30k salary
- 25 days holiday
- Pension Scheme - 15% Non-contributory
- Private medical, health, and life insurance
- Dental care
- Gym subsidy
- Season ticket loan
- Employee Assistance Programme (EAP)
- Personal Accident Cover
There are 3 stages to the Mondrian Graduate recruitment process as follows:
- Online application, including CV upload and short numerical reasoning assessment
- Short screening call with Bright Network prior to shortlisting
- Interview with Mondrian
You will know within 7 working days whether you have been successful between interview stages.
Thank you very much for your interest in this role with Mondrian. Please note that applications are screened on a first come, first served basis and we recommend applying as early as possible.
We look forward to receiving your application and meeting with you in person.