Compliance Officer

  • Circa £300 per day.
  • London, England, United Kingdom
  • Contract, Full time
  • Maze Executive Search & Selection
  • 12 Oct 17 2017-10-12

A listed fund management group based in the UK, with offices in the United States, Singapore and Dubai is looking for a Compliance Generalist for a 15 month maternity cover. This is a great opportunity for junior to mid-level Compliance professionals with AIFMD experience.

Summary Role Description

The role is part of a global team that includes three other compliance professionals, one of which is the Head of Compliance, based in London, with the remaining members of the team being based in the US.  Given the small size of the team, a ‘hands-on’, team player is required, as the individual will be expected to get involved in all aspects of the team’s work. 

The main responsibilities for this role will be to assist the Head of Compliance in carrying out the various compliance tasks in the UK office as well as providing compliance support and advice primarily to the UK office, whilst supporting the global compliance function.

The role will suit a confident, knowledgeable self-starter, who is able to work independently as well as work as part of a team.  Other skills and experience that will be necessary / beneficial in this role include:

  • Good working knowledge of AIFMD including reporting via GABRIEL, making notifications / applications / withdrawals
  • Knowledge of UCITS (Irish)
  • Working experience of Charles River (will consider other systems experience e.g. thinkfolio)
  • Knowledge of security and instrument types
  • Knowledge of FATCA / CRSF
  • Execution of monitoring tests in accordance with the agreed compliance monitoring program / annual compliance review, including recommendations / suggestions on improvement where relevant and ensuring that the monitoring remains on track for the year and any issues are escalated to the Head of Compliance timeously
  • Client take-on checks, including AML/KYC checks and on-going monitoring
  • Experience in reviewing IMAs and fund documentation
  • Strong written and oral skills in conveying findings and results
  • Multi-jurisdictional regulatory experience helpful
  • Experience in drafting and maintaining relevant compliance policies
  • Assist with the maintenance and upkeep of various compliance logs & registers
  • Knowledge and experience of key regulatory initiatives
  • Ability to respond in a timely and succinct manner to requests for advice and guidance
  • Ability to ‘multi-task’ and work on a number of areas at the same time
  • Understands the importance of and respects the need for confidentiality – e.g. knowing when to take a conversation into a private room etc.
  • Good time management and organizational skills
  • Attention to detail and deadline focused, including following up on outstanding issues in a timely manner

Principal Responsibilities:

General

Respond to any situation that requires the attention of the Compliance Department

Regulators/Filings

  • Undertake Regulatory Returns to the FCA, especially in relation to AIFMD as directed by the Head of Compliance
  • Undertake regulatory returns in other jurisdictions as needed

Policies/Procedures

  • Create and maintain the relevant regulatory policies, including Compliance Manuals, Code of Ethics & AML etc. for the Firm.
  • Update and create where requested written procedures for the Compliance Department.

Clients

  • Review printed financial promotion material and presentations produced for existing and potential clients
  • Review new client Investment Management Agreements and Guidelines prior to execution to ensure the firm can satisfy all requirements/restrictions
  • Preparation of guideline coding in Charles River order management system