Graduate Role Profile

Trainee Compliance Officer

What is Compliance? The Compliance team has the responsibility to ensure that Daiwa complies with all applicable regulations, laws and rules associated with our business whilst managing the relationship with the Company’s regulator, the FCA.  The team work with many different areas of the business to help educate and train, and play an important part in preserving our reputation in the financial markets.
What is the role? As a trainee you will have diversified exposure across the Compliance function. With training and guidance, your responsibilities will involve assisting with the registration of staff and ensuring compliance with anti money laundering procedures. You will also have the opportunity to report to and liaise with our regulators, whilst learning about control room duties including, managing conflicts of interest, maintenance of watch/restricted lists, and monitoring and surveillance (i.e. the surveillance and analysis of trades). The role will also involve the consistent review and updating of procedures, control processes and associated records, e.g. personal account dealing, gifts and hospitality. As a trainee you will assist with the training of registered staff and have the opportunity to issue Company guidance based on your analysis of regulatory news and developments. As a key part of Daiwa’s control framework you will be given early responsibility and will quickly be given the opportunity to make a real contribution to the Compliance team.
How will
it suit me?
You will be part of a team that has a wide variety of responsibilities. Elements of the work will be technical, and it is likely that you will need to undertake review and analysis of regulatory documents. In addition, you will be in contact with many people across the firm, up to and including the senior management whilst also supporting training activities. You will need to enjoy working and engaging with people at all levels, and be equally happy working individually at times.
What do you expect from me? We are looking for someone who works well in a team and who has excellent interpersonal skills with the ability to communicate clearly and effectively (both orally and written). You need to be able to demonstrate a passion for research and be comfortable with technical language. An enthusiastic learner with a willingness to share that knowledge with others is necessary for this role. 
And what qualifications do I need? We are happy to consider any degree having regard for the requirements above, however it is likely that you will have, or be predicted to have, a 2:1 or above in Economics, Law, Finance/Accountancy, Business Studies, or any Compliance or Financial Services related subject. If you are successful, we will support you to study for a CISI professional qualification.