Compliance Assistant

Permanent role based in London (UK)Our GroupPuma Capital Group is an award-winning investment manager, and a leading provider of growth capital to UK SMEs and property finance to developers and real estate investors.The Puma Capital Group comprises four businesses focused on delivering long-term sustainable growth for our investors and partners, namely: Puma Investments, Puma Property Finance, Puma Private Equity and Puma Public Markets. Together they manage more than £950 million in assets, have lent more than £1 billion of development funding, and have assisted dozens of businesses across the UK elevate and build to deliver on their brilliant ideas.A business in growth modeIn the 11 years since we were set up, Puma Capital Group has grown significantly. We are now over 110 people across the Group with our staff working nationally (our head office is in London). In addition, we are also part of the Shore Capital Group which has offices in Edinburgh, London, Liverpool, Guernsey and Berlin.As such, it is an exceptionally exciting time for our business: combining our already very strong track record with ambitious growth strategies, we have already developed our market share substantially and are looking to build further on our success.Who we areThe team at Puma are bright, ambitious, and passionate about what we do. Our non-hierarchical and meritocratic approach results in a close-knit team with a unified goal. We believe that success is produced by and belongs to all.While our team has grown significantly, our values remain the same:• Collaboration: Working together towards the same goal, sharing knowledge and expertise• Aspiration: Striving for excellence in everything we do• Respect: Fostering an environment where everyone behaves with respect and integrity• Value Creation: Delivering outstanding results for our internal and external partners.These values underpin our business, and they inform every aspect of our behaviour — from how we manage money to the types of companies we support.We continue to strive towards being a more diverse, equitable and inclusive workplace for everyone with a focus on inclusivity and belonging at all levels for all staff. We focus on a number of initiatives including training, our policies and procedures and having a culture that focuses on authenticity for all our team members. We’re excited to continue to improve our commitment as allies and create a workplace where everyone is able to bring their whole self to work.In addition, while it is a given that rewards are highly competitive and based on performance, we also believe in benefits that reward you in a more rounded way; as an example, our team get their birthdays off and personal development grants (for sushi making classes, photography, golf lessons or any interests you have that make you, you).As well as the standard benefits including an enhanced pension, life assurance, private healthcare etc., other examples of supporting our staff include an enhanced maternity (3-6 months full pay dependant on tenure) and paternity policy as well as fully paid time off for miscarriages and baby loss. We are keen to support our people through various times in their lives from moving house (with paid time off) all the way to key events such as growing their families and menopause. Our team follow a hybrid working model where they are (with their manager) responsible for the days they are in the office or on ‘site’ (usually three days) and when they work from home.We also take our responsibilities seriously, actively fundraising for our chosen charity of the year through a variety of activities as well as other socially responsible initiatives including partnering with a number of mentoring schemes where staff are able to support students through their educational journeys.Our holistic approach to looking after our staff has meant that our staff turnover remains consistently low. And while we don’t adopt this approach for the accolades, we are delighted to have been ranked in the top 100 Great Places to work, Financial Services and Insurance (Small and Medium) and to be certified for the same. Additionally, we have been ranked 70th in the UK’s Best Workplaces 2024 (Medium category) and 28th out of 100 among the UK's Best Workplaces for Development 2024 (Medium category). We were also finalists for the Equity, Diversity and Inclusion Programme of the year and the Mental Health & Wellbeing Programme of the Year in the Inspiring Women Awards run by Property Week.The RoleAn exciting new role has arisen for an intelligent, motivated and committed individual to join as a Compliance Assistant within Puma Capital Group. This would be the ideal role for a self-starter who is looking for the opportunity to better develop their career as a compliance professional.Key ResponsibilitiesGeneralAct as ambassador for the Puma Investments Compliance Department, promoting its highly regarded reputation and developing its function as a critical business area with a strong focus on service and relationship management across the business.Keeping abreast of regulatory developments to consider the impact on the business.Working closely with Compliance team members to coordinate team activities and workstreams (including Compliance policies/procedures updates)Assist with the execution of the PIML Compliance Monitoring Programme (including monitoring of PA Dealing, G&E, Emails, Calls, and Outside Interests.)Responsible for maintenance of logs/registers (including FCA interactions, Breaches, Complaints, High Risk Register etc.)Assisting with the maintenance of the Central Compliance System (currently My Compliance Office (“MCO”), including the coordination of compliance uploads and inputs to the system.Completing data collection for regulatory returns and information requests and assisting with the associated submissions.Own and maintain the compliance monthly monitoring dashboard and quarterly Consumer Duty dashboard.Act as the first line response to assist in answering day to day Compliance, regulatory and financial crime related queries.Financial crimeInvestigate initial on-boarding results from Compliance AML electronic verification systems (currently Smartsearch & Dow Jones) and monitor alerts that result from ongoing screening (PEPs/Sanctions/High Risk Flags etc).Assist with on-going CDD monitoring of existing relationshipsTraining/Staff/SMCRReviewing, editing and issuing eLearning training modules utilising the online training portal (currently Skillcast).Analysis of compliance training data, feedback and creation of MI reports.Interacting with the wider business to ensure staff complete Compliance related requests.Working in conjunction with the People team to manage joiners, leavers and transfers (JLT) and related processes from a PIML Compliance perspective including coordinating the Certified Persons/Senior Managers filings under SMCR.Experience, Skills and attributes required Degree educated preferredExperience in a Compliance/Financial Crime function within an FCA regulated entityPrevious exposure to Compliance Frameworks – strong experience of Compliance Monitoring highly desirable.Relevant experience of compliance processes including logs/registers, regulatory filings, verification systems, centralised compliance monitoring systems, and online training portals.Must be able to work with, and analyse, large volumes of data to uncover useful insights. Excel and PowerBI proficiency is preferred.Strong interest in the investment management industry and its applicable regulations.Passion to increase regulatory knowledge and develop as a generalist Compliance professional.Good attention to detail.Good time management.Dependable resource for the team to rely on. A self-starter, although comfortable to ask for help/advice when needed.Strong alignment with the Puma core values.Please note the opportunity to sit dedicated Compliance and Financial Crime Qualifications is offered.Research shows that men typically apply for roles when around 60% of the criteria is met, however, women and other underrepresented people often only apply when they tick every box. So, if you think you have what it takes, but don't necessarily meet every single point on the role description, please do still get in touch – we would love to hear from you!What’s In It For You•Hybrid working model (3 days in the office and 2 days at home)•Annual discretionary bonus•Private Healthcare with BUPA, including a Digital GP•Employee Assistance Programme (EAP)•Life assurance & wellbeing app with YuLife•Enhanced pension scheme - employer contributions are 8% of your basic salary (up to £8,000 per year)•25 days holiday, which increases with length of service and is capped at 30 days•Birthdays off, Moving house day off, and an annual volunteer day•Breakfast and snacks•£200 personal development grant - an annual grant to allow you to invest in further learning and self-development. Examples of what staff have used this for include: sushi making, photography, driving lessons, golf etc.•Financial wellbeing benefits – we offer a cycle to work scheme, an interest-free season ticket loan and a workplace nursery scheme•Companywide socials – Summer and Christmas parties, monthly socials, an annual Pride party, and regular Townhalls•Enhanced maternity leave (3-6 months full pay dependant on tenure)•Enhanced paternity leave (2-4 weeks full pay dependant on tenure)Please see further details on our benefits here:Careers - Puma Capital Group - Puma Capital GroupEqual Opportunity StatementWe’re an equal opportunity employer. All applicants will be considered for employment without attention to race, religion, age, sexual orientation, gender identity, gender reassignment, family or parental status, national origin, veteran, neurodiversity status or disability status.