Senior Compliance Officer - Asset Management

  • GBP600 - GBP700 per day
  • London, England, United Kingdom
  • Temporary, Full time
  • Robert Walters UK
  • 02 Nov 17 2017-11-02

Senior Compliance Officer - Asset Management Our client, a globally recognised top tier asset management firm with a strong market presence, is looking to recruit a Senior Compliance Officer to help deliver and implement robust Compliance programme and provide advice and guidance to the Asset Management businesses.

This pivotal role will cover all aspects of the Asset Management business activities relating to regulatory rules and working closely with the US Compliance business ensuring all regulatory requirements are met.

Main responsibilities will include:

  • Develop the Asset Management Compliance programme
  • Working closely with the FCA, SEC and other regulatory bodies
  • Develop and improve the Compliance Monitoring and Surveillance programme
  • Proactively engage with business stakeholders and embed a robust Compliance culture across the Asset Management business
  • Provide Advice and guidance on all regulatory requirements
  • Work closely with the regulatory development teams keeping abreast with relevant regulatory changes impacting the Asset Management business
  • Provide input to policy and procedural changes relevant to FIA/ECM
  • Partner with Compliance counterparts in the US regarding SEC rules and regulations
  • Draft and issue formal reports to the business
  • Support in maintaining risk assessments and ongoing maintenance
  • Develop and maintain strong stakeholder management

Essential experience required:

  • Subject matter knowledge of Asset Management products and services
  • Experience providing Compliance advice and guidance on regulatory requirements
  • Strong understanding of FCA, PRA and SEC regulatory requirements
  • Well developed understanding of the asset management industry
  • Excellent planning and organising skills
  • Stakeholder management skills

Ideal candidates will have a business focused approach to Asset Management Compliance.

This is a long term, highly rewarding contract for the right individual.

Please apply for further information.