Principal Compliance Consultant - Asset Management
Salary £70,000 - £87,000 per annum + Standard
Consultant Peter Jecks
Date posted 24 July 2018Robert Walters United Kingdom
A fast-growing Asset Management Compliance Consultancy is looking for a Compliance professional to join their Compliance team covering all business activity. They are looking for someone with good knowledge of UK regulations in the Asset Management space, and excellent interpersonal and problem solving skills.
An Asset Management Complaince Consultancy is seeking someone with strong regulatory knowledge and problem solving skills to become a Principal Asset Management Compliance Consultant on their London Compliance team.
Asset Management Compliance Consultant key responsibilities:
- Assisting in implementing the Compliance Program and annual Compliance Review which includes but is not limited to SEC, OCC and FCA regulations as well as surveillance of trading and marketing activity for compliance with FCA and other relevant rules and regulations
- Undertake ad-hoc advisory duties in accordance with the second line of defence (2LOD) framework
- Assist in developing and creating policies and procedures as and when needed.
- Ensure the Compliance Monitoring Programme and reporting is properly carried out and that reviews are accurate and of a suitably high standard.
- Assist in raising compliance awareness throughout the company.
Asset Management Compliance Consultant
- 5+ years experience of compliance work in investment management under FCA regulation.
- Good working knowledge of the UK regulatory environment and how FCA requirements apply to asset management lines of business.
- Problem solving skills – demonstrated ability to identify key issues, and obtain appropriate information for further analysis.