Compliance Officer (part time)
- SalaryMarket Rate
- LocationWest End, London
- SectorCompliance & Regulation, Fund/Asset Management
- PublishedAugust 3rd 2012
This successful Alternative Investment Manager is looking to hire a specialist Compliance Officer to join their firm on a part-time basis and bolster its compliance function across 2 FSA-regulated London-based entities.
Reporting into the Board of each entity, the successful candidate will have full oversight of compliance for two entities and hold the CF10 & 11 controlled functions.
Responsibilities include (but are not limited to):
- Ensure that the firm remains compliant with all applicable UK & US regulations and codes of conduct
- Keep senior management aware of their regulatory responsibilities, changes to rules and current practice
- Maintain and update the Code of Ethics, Compliance Manual and internal procedures as required
- Provide advice and guidance to the business on regulatory & legal issues
- Identify and develop robust risk controls
- Develop compliance training programmes and guides for staff
- Maintain all relevant compliance records (PA dealing, gifts, conflicts of interest, etc)
- Produce the annual compliance/MLRO report for the board and clients
- Attend to all regulatory filings
- Review all marketing literature, ensuring promotion to only suitable prospective/current investors
- Develop and update compliance monitoring programme taking into account of compliance risks
- Undertake compliance monitoring reviews in line with procedures and FSA regulations.
- Assist the external compliance consultant with their monitoring reviews
Qualifications & Experience
- Extensive experience gained in asset management compliance
- Current or recently registered with the FSA as CF10 & 11 (strongly preferred)
- Degree educated or equivalent
- Strong, effective communication skills (written and verbal)
- Ability to negotiate and influence people at all levels
- Self-starter and able to meet tight deadlines
- Good analytical, business and problem solving skills
- Ability to work as a team and maintain relationships internally and externally
It is expected that the successful candidate will be able to commit to 3 days / week, although you will need to be able to commit the hours needed to cope with any peaks in workload or advice needed from the business.