• Assist in establishing and maintaining the risk-based compliance framework, with a focus on fund governance and oversight, to ensure adequate identification, assessment, communication and control of compliance risks.
• Escalate compliance risks to the Deputy Head of Compliance and / or Head of Compliance when necessary and as appropriate.
• Champion an effective compliance culture across the business, ensuring effective compliance across all areas of responsibility.
• Monitor developments in the wider financial services sector to develop an up to date knowledge and awareness of relevant issues and future trends and their likely impact on the company’s risk profile.
• Assist with providing information to third parties when requested, such as to the regulator, government authorities, external and internal auditors.
The successful candidate must have gained compliance experience either with a fund manager, a depositary/trustee, an ACD or a consultancy where you have advised/worked with retail fund providers or discretionary investment managers. While experience of OEICS would be advantageous as important will be your broader funds compliance experience.
This is an excellent opportunity to work with a successful, ambitious and growing investment house in an exciting and challenging role, working in and learning from an extremely knowledgeable and experience compliance team. If you feel you have the necessary drive, experience and skills to be successful in this role then please contact please call Gary Collins on 020 7330 6960 or send your details to him at Gary@compliancerecruitment.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.