FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Officer - Investment / Asset Management - London

My client, an investment-led service company which offers a variety of asset management and related services is seeking a compliance monitoring officer. Ideal applicants will have about 3-5 years working knowledge of investment compliance and some knowledge of FCA regulations.

JOB TEXT

My client, an investment-led service company which offers a variety of asset management and related services is seeking a compliance monitoring officer. Ideal applicants will have about 3-5 years working knowledge of investment compliance and some knowledge of FCA regulations.

Key focus of the role:
* Review investment guideline and regulatory restrictions for the universe of segregated mandates and regulatory rules
* Review and test the rule coding already existing as well as help with changes and new mandate on- boarding
* Provide assistance to the daily monitoring team for adherence to client investment restrictions, and maintaining the accuracy of investment restriction data on the system
* Assist Compliance Managers in the establishment and maintenance of adequate arrangements for awareness and training
* Develop and maintain a positive compliance culture through communication and monitoring regulatory responsibilities at all levels;
* Assist in producing and reviewing compliance certificates for clients
* Assist in completing a number of periodic monitoring reviews and report weaknesses found during monitoring

The Company and team:
* Very inclusive culture with the opportunity to rotate to project work ensuring a through grounding in all areas of compliance monitoring
* Based in the heart of the city with good access to tube and rail. And excellent views of the square mile and beyond!
* The manager on the this team is probably one of it's biggest selling points, a very institutive natural born leader who is motivated by the progression of the team and their careers!
* Lots of company social events, Christmas party, summer party etc

Required Experience:
* Have 3 to 5 years working experience in a compliance function of an asset management company
* Ideally experience in guideline monitoring, rule coding and/or guideline review projects
* Experience in UCITS and Investment compliance rules

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-08-13
London, England, United Kingdom London England GB