Description
My client is a top Asset Manager based in London.
The main elements of the role are as follows:
*Assist with the development and maintenance of the risk based compliance programme and regulatory risk assessments for the UK and EMEA;
*Perform monitoring and surveillance reviews in line with the compliance monitoring plan;
*Validate control processes to ensure compliance with laws, rules, regulations and policy requirements;
*Support the Compliance department with delivery of the other key elements of the programme activities;
*Provide support and guidance to compliance teams and/or operational staff on regulatory, policy and procedural issues and application as required;
*Assist with the production of Compliance MI;
*Assist with client enquiries and requests for information;
*Identify, log and resolve compliance issues and breaches;
*Assist with ad hoc projects, monitoring tasks and regulatory change initiatives.
The ideal candidate would have the following experience:
Hands-on experience and expertise in compliance review of marketing and financial promotions in order to assist in the company's compliance with the UK and EMEA regulatory marketing requirements.
A strong knowledge of the existing and forthcoming UK and EU regulatory frameworks is essential as is a comprehensive understanding of the investment management industry, services and products.
The individual will be expected to have a good understanding of the FCA handbook (especially relating to financial promotions in particular).
High levels of drive and focus together with enthusiasm for working
Strong Excel skills desirable along with strong asset management compliance experience, understanding of European fund structures
If you are interested please reply with an updated CV and Synopsis covering why you would be a good candidate for the role
Allegis Group Limited and Aston Carter Limited operate Employment Businesses and Agencies and are companies within the Allegis Group Inc. group of companies, the fourth largest staffing company in the world, (collectively referred to as the "Allegis Group"). TEKsystems and Aerotek are divisions of Allegis Group Limited. Applicant data will be treated in accordance with the Allegis Group's Privacy Notice ). By submitting personal data to any company or division within the Allegis Group, the applicant is providing explicit consent to the use of such data by the Allegis Group and to the transfer of such data to and from the Allegis Group companies within the UK, Europe and outside the European Economic Area in connection with the fulfilment of the applicant's voluntary requests, and the fulfilment of other job opportunities that match the applicant's profile, and confirms that they may be contacted about such job opportunities.