Compliance Assistant – Fund Management Experience Required

Our Client, a leading UK Fund Management Firm, is looking for a compliance assistant to join their compliance team. Duties will include;

• Carry out PA Dealing checks
• Daily, monthly and periodic monitoring.
• Guideline monitoring of Charles River alerts and warnings.
• Maintenance of the Embargoed Securities List.
• Undertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the business.
• Provide advice and guidance to the business on relevant regulatory issues.
• To demonstrate awareness of TCF in relation to compliance related matters.
• Deal with ad hoc queries.

The successful candidate must have at least twelve months Asset Management Compliance experience whether gained in an in-house compliance department, a consultancy or the regulator itself.

For further information or a confidential no obligation discussion, please feel free to call Chris Clarke on 020 7330 6963 or send your details to him at chris@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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