Compliance Officer - Investment Management
Salary £55000 - £75000 per annum
Consultant Peter Jecks
Date posted 13 February 2017
An exciting opportunity has come up within a cutting-edge Investment Manager as a Generalist Compliance Officer.
A new position has become available as a Compliance Officer at a global Investment Management firm based in London.
The role has come about due to the sheer volume of work in the Compliance team at this cutting edge and innovative Asset Manager. The Compliance Monitoring Officer is responsible for day-to-day execution of the compliance monitoring programme, its maintenance, and future development.
In addition, the role will act in an advisory capacity to the business, advising on regulatory compliance, providing challenge on regulatory and conduct risk, monitoring relevant industry developments and regulatory changes, as well as providing oversight.
As the Compliance Monitoring Officer, you will be responsible for:
- Regulatory Advice
- Regulatory Reporting – including shareholder reporting
- Client take-on
- AML and SARs
- Keeping on top of regulatory changes
- Support and maintenance of policies and procedures
- Conflicts of Interest
- Trading Errors, Breaches and Incident
- Financial Promotions
- Gifts and Entertainment
For the Compliance Monitoring Officer role, you will require:
- Minimum 3 years’ experience in compliance roles within an Asset Manager.
- Extensive experience within a UK UCITS manager / AIFM and ACD is a strong plus
- Delivery of a compliance monitoring programme
- Experience of scoping, planning and undertaking a schedule of thematic reviews
- Understanding of robust governance processes through membership of oversight / management committees
- Understanding of pre and post-trade front office controls including interpreting client documentation
- Knowledge of FCA regulations, esp. COBS & COLL, SYSC and UCITS rules
- Understanding of relevant control frameworks and regulatory changes.