Our client, a highly regarded boutique Asset Manager is looking to add to their Compliance team with the hire of a Compliance Executive. You will ideally have gained in excess of 3 years of experience with a compliance function of an investment management business.
Roles & Responsibilities
- To implement the Compliance Monitoring & Surveillance Plan, including the monitoring of outsourced functions
- To advise the business on the implications of current and future laws, regulations, codes and standards
- To assist the Deputy Head of Compliance and the Chief Compliance Officer to manage the Groups’ compliance with the various regulatory rules, requirements and obligations
- Undertake detailed thematic (internal and external) Compliance Monitoring reviews
- Undertake various surveillance tasks as detailed in the Compliance Monitoring & Surveillance Plan
- To provide front office advice and guidance around pre & post trade compliance controls.
- To assist in new product launches and regulatory projects.
- Responsible, along with the rest of the Compliance team, for completing the daily, weekly and monthly regular compliance tasks. This includes (but is not limited to) regulatory disclosures, incident & complaint analysis and third-party oversight meeting.
- Review and update Compliance policies and procedures as required.
Background & Experience
- The ideal candidate should come with 3 + years of Compliance experience, ideally from within the Asset Management arena.
- Experience of Compliance Monitoring reviews required.
- Good regulatory knowledge of the Financial Conduct Authority - other regulators also useful.
- Good working knowledge of order management and trading systems ideal
- Ideally degree educated and completed the IMC or a compliance focussed qualification.
Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted