Compliance Officer
- Salary£70,000-100,000 +Bonus+Benefits
- LocationCity of London, London
- SectorCompliance & Regulation, Fund/Asset Management
- ReferenceSH/17819
- PublishedMarch 16th 2010
Compliance Officer
£70,000-100,000+Bonus+Benefits
London
SH/17819
My client is a successful investments company that actively manages money across the world markets. With several billion dollars in assets under management, they have been successfully applying their disciplined, process-driven investment trading strategies since 2001.
The firm is rapidly expanding in the European markets and they are seeking an EU Compliance Officer to assist with the organization, administration and enforcement of the firm's compliance program in Europe and to lead their application processes for various EU exchange memberships. The job holder will be working with a number of teams to guide the set-up of the infrastructure needed to support their direct trading on EU exchanges. Additional responsibilities will include: monitoring, updating, and enforcing compliance policies and procedures (i.e., the Compliance Manual, investor files, brokerage arrangements and other government filings); testing and documenting these policies; monitoring European regulatory developments; and preparing for, and responding to, FSA inquiries and audits.
The ideal candidate will have experience as a compliance professional at a mid- or large-sized investment advisory firm that is registered with the FSA and will have successfully been through FSA audit(s); a solid understanding of the contents, requirements and operations of MiFID; outstanding organizational and communication skills; comfort with, and an understanding of, how to interact with government officials; and an undergraduate degree from a top university. This is an excellent opportunity to take your career to the next level and develop and build upon your existing skill set.
