Salary £400 - £500 per day
Consultant William Young
Date posted 03 October 2016
A reputable Investment Manager based in London, is looking for a Compliance Generalist. You will provide compliance support and advice in relation to regulatory, client and compliance requirements within the business. This role would be well suited to a individual with extensive Compliance experience within Asset or fund management who has covered numerous areas including Central Compliance, Monitoring and the Control room.
Compliance Generalist Responsibilities:
- Provide advice in event of breach’s and advising the business on appropriate course of action
- Provide advice and support regarding compliance with regulatory, client and compliance requirements
- Assist with thematic reviews
- Assist with monitoring compliance with policies, including conflicts register, PA dealing, gifts & hospitality
- Review & sign-off on all marketing material and relevant communications
- Good knowledge of fund management processes, instruments, products and funds
- Sound working knowledge of the UK regulatory framework
- Relevant Compliance experience in Central Compliance, monitoring and the Control Room
- Willingness to take ownership and accountability for delivery
If you are driven, determined and want to take the next step in your career, this Compliance Generalist role is for you. Apply today or call me on 0207 509 8886 to find out more.