Compliance Executive - 12 Month FTC - £50K

Job type:
12 Month FTC
Timothy James Consulting
flag_no USA
project ID:

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Senior Compliance Executive - Investment Banking - Henley - 12 Month Fixed Term Contract - £50K + Package

A leading Investment Management house is currently seeking to hire a Compliance professional to join their compliance team in Henley.

To provide support and advice to the business on sound business practice and regulatory rules and principles specifically in relation to Marketing, Sales and Client Service.

Job Description
* Approving financial promotions
* Providing compliance advice and support to the business and management
* Managing the production of monthly compliance reports to senior management in the UK, Europe and non-US
* Providing summaries of regulatory consultation papers to management at the direction of the Senior Compliance Executive and Director of European Compliance
* Examining rule changes and discussing implications for the business with Senior Compliance Executives and the Director of European Compliance
* Providing compliance/regulatory input into monitoring programmes
* Undertaking ad hoc reviews and projects as determined by the Senior Compliance Executive and the Director of European Compliance
* Assisting and supporting the Senior Compliance Executive and Director of European Compliance

Skills Required for role
* An accounting/audit or financial services background
* Significant experience in the review of financial promotions
* Experience and exposure to operational risk management procedures and processes
* Experience of the financial promotion regime
* A good understanding of the FSA conduct of business rules
* A good understanding of the technical nature of the business and of marketing activities in the financial services sector
* Detailed knowledge of UCITS funds, Investment Trusts, ETF's, ISA's, alternatives, complex instruments and private placement regimes
* PC literate
* Graduate
* A professional qualification is desirable but not essential
* Effective time management skills
* Excellent interpersonal skills
* Highly organise
* Ability to work under pressure
* Excellent team player

Please note the contract end date is December 2012

This is a fantastic opportunity for an experience Compliance expert to join a market leading investment house.