Asset Management Compliance
Salary £50000 - £60000 per annum + + bonus + benefits
Consultant Emily Pearce
Date posted 22 August 2016
A leading Asset Manager is looking for a Generalist Asset Management Compliance professional to join their team. The role will be broad covering all aspects of buy side Compliance based in London.
This leading Asset Manager is seeking a junior Generalist Asset Management Compliance professional who is looking to develop across a broad range of Compliance areas. The role will offer diversity and exposure to key stakeholders within the wider business.
Asset Management Compliance key responsibilities:
- Monitoring of the firms’ compliance with relevant regulatory and ethical requirements through the day to day compliance control framework. Investigate, record and respond to client complaints
- Preparing broker reviews and sign-offs.
- Ensuring that financial promotions within the asset manager are clear, fair and not misleading and comply with all required regulations for the specified audience in the target market
- Responsible for the oversight and sign-off of KIIDs
- Provide guidance and assistance to the business with regards to electronic portfolio monitoring
- Responsible for the oversight of investment mandates to ensure that all investment restrictions are adhered to
- Assist Senior Compliance Officer with Thinkfolio and front office day to day monitoring, including assistance with dealing tests.
- Understanding of FCA,CBI,SEC and UCITS regulations
- Understanding of global distribution markets within financial services
- Strong generalist Compliance within buy side Compliance ideally
If you would be interested in this Asset Management Compliance opportunity, please contact Emily Pearce on email@example.com or 0207 509 8358.