Compliance Officer

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Cordium
  • 18 Oct 17 2017-10-18

Well-established boutique investment firm based in the heart of the West End is looking to hire a Compliance Officer to manage all regulatory matters for the business.

This is a varied and challenging role with responsibilities including (but not limited to):

 

  • Managing all compliance activities in line with FCA regulatory requirements
  • Monitoring activities to ensure compliance with relevant overseas regulators (SEC)
  • Managing regulatory relationships in the UK and US
  • Overseeing and ensuring accurate and timely reporting to regulators in the UK and US
  • Manage the risk-based monitoring and testing program, ensuring it is updated as appropriate
  • Keep up to date with current and proposed UK, US and European regulations; prepare summary reports / update the board and senior management as appropriate
  • Keep up to date with regard to global regulatory developments affecting the firm’s business
  • Updating policies and procedures as required
  • Providing accurate and timely advice to business areas
  • Oversight of personal account dealing and gifts policies, etc
  • Identifying and dealing with individual registrations and approved persons

 

Essential candidate requirements:

 

  • A significant and proven track record in an FCA-focused compliance role
  • Prior experience working with hedge fund / investment managers
  • Strong understanding of FCA rules and regulations
  • Additional experience of / exposure to SEC regulations (advantageous)
  • Ability to provide solutions-led / business-focused regulatory advice
  • Currently registered (or have recently been registered) and prepared to take on the CF10 and CF11 controlled functions
  • Ability to work independently and be comfortable in a standalone role