Senior Compliance Officer - Asset Management

  • Up to £85,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • LMA
  • 20 Jun 18 2018-06-20

If you are an experienced compliance professional looking for an exciting opportunity in asset management, read on.

An exciting opportunity has arisen for a senior compliance officer in a firm that stands out for its unique portfolio of clients.

Alongside an enthusiastic Head of Compliance, you will be responsible for overseeing and managing all compliance issues, including; Compliance monitoring, anti-money laundering and assisting with training requirements.

The Main Duties

  • Carry out analysis on breaches and complaints when required
  • Prepare compliance reports for reporting to internal committees and Board reports
  • Provide an advisory service to the business on regulatory matters affecting investments and the client base.
  • Ensure that appropriate controls are in place to mitigate the risk of Financial Crime, including anti-money laundering, fraud, bribery and corruption, insider dealing, market abuse and information security
  • Provide ad-hoc compliance advice, guidance and support to the business, in respect of FCA rules affecting trading, investmentd and the Funds
  • Work with Head of Compliance to moitor key risks to the business and ensure that the risk management franework remains up to date - appropriately mitigating te relevant risks.
  • Work with the Head of Compliance to monitor key risks to the business and ensure that the risk management framework remains up to date and appropriately mitigates the relevant risks. 

If this sounds like the role you’ve been looking for, you’ve got the experience and can really add value to an exciting team, we’d love to hear from you.

Based in the heart of the City of London, you can expect a salary of up to £85,000.