Description
Compliance OfficerCompliance officer required for a well-respected asset manager to focus on three main 2nd line compliance activities; compliance advisory, compliance monitoring and ad hoc compliance project work.
This compliance officer position has come onto the market due to the good health of business that the asset manager has experienced over recent years which in turn requires them to maintain a robust compliance function hence their investment into the compliance team.
The current compliance team consists of a head of compliance, 2 senior compliance officers and a couple of associates. This role supports the senior compliance officer and would require you to guide the associates as and when required.
Key responsibilities:
- Provide compliance advisory to relevant stake holders and business lines as required.
- Keep up to date on UK compliance and European compliance regulations applicable to the business
- Highlight regulatory compliance risks and escalate any matters of concern to senior compliance officers
- Market conduct monitoring; follow up any issues identified and be able to draft reports listing out an analysis of issues and any steps required
- Conducting best execution and work closely with front office to close out any potential compliance issues identified
- Develop and implement the compliance monitoring programme
- Working with compliance sourcebooks, specifically, MAR, APER, SYSC, COBS, SUP and FUND. You should be working with at least a couple of these to be considered for this function.
- Keep abreast of regulatory issues that may affect the firm with respect to areas of monitoring and report the implications to senior compliance staff members.
- Produce well written reports outlining any issues identified and provide realistic resolutions through your findings.
- Carrying out thematic reviews and performing gap analysis.
- Ad hoc involvement in the compliance review of financial promotions and projects
This is an exciting opportunity for the right individual who is keen to develop a strong career within compliance on the buy side.
The team is experienced and a great bunch to work with and learn from. No day is the same and the offices are located in prime west end real estate.
If you are interested in this position, please submit your CV online alternatively call me direct, Pritesh Chudasama on .