Compliance Specialist - Asset Management
Salary £45000 - £55000 per annum
Consultant Peter Jecks
Date posted 31 August 2016
A new opportunity supporting Monitoring and Surveilance functions in a UK based global Asset Manager.
Compliance Specialist – Asset Management
A new opportunity has arisen to be part of a Compliance Infrastructure team that sits within the UK Asset Management Compliance function, but exercises oversight and provides support to global teams in relation to global compliance policies and processes.
Overview of Compliance Specialist – Asset Management:
- Primary purpose of this role is to conduct ongoing surveillance and monitoring in relation to staff activities
- Electronic communications
- Personal Account Dealing
- Gifts & Entertainment declarations
- Registration and approval processes for staff registered with the FCA and PRA
- Non-financial regular and ad hoc regulatory reporting
- Updating and communication of core Compliance policies and requirements
- Maintaining information on the Compliance Intranet site
- Compilation, drafting and production of core compliance managementinformation
- Compliance training, including Induction training and the wider Compliance training framework.
- The role will require the holder to liaise with internal and external parties and co-ordinate and ensure timely outcomes and solutions.
Essential skills for Compliance Specialist – Asset Management:
- Demonstrable experience in Regulatory / Compliance /Risk field
- Experience in conducting monitoring/ surveillance activities
- Ability to document processes in policies & procedures
- Proactive, enquiring and sceptical with solid analytical skills and good judgment, to identify/propose appropriate solutions
- 2-3 years Asset Management Compliance experience