I have partnered with an Investment Management firm in their hunt for a Senior Compliance Officer. The successful candidate will be managing UK compliance projects and supporting the Compliance function on a global scale. Based in the West End, my client are a well established and continue to grow globally.
Duties to include, but not limited to:
* Ensuring processes, systems and controls in place to comply with FCA requirements
* Support the compliance agenda across the business
* Support with the development, implementation and management of the Group's compliance policies and procedures across all jurisdictions
* Support with the development and implementation of a risk based compliance monitoring programme
* Support in the monitoring, interpretation, and analysis of existing and prospective regulatory requirements
* Review and assess compliance breaches and work with the business to remediate
* Review and approve financial promotions and investor communications as requested by the business
* Support the Financial Crime Control team by leading projects to enhance the financial crime prevention framework for the group
* Manage special projects required to comply with regulatory changes or enhance the compliance framework
You must have good working knowledge of AIFMD, MiFID II, SMCR and GDPR.
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: