Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/8770Between £45,000 and £50,000 | Location: London | Sector: Compliance & RegulationFund/Asset Management | Published: November 20th 2009 | <p><strong>THE COMPANY:</strong><br />Our client is considered to be one of Europe&rsquo;s Elite Alternative Asset Management firms who manage a collection of hedge funds, loan products and long only funds.</p> <p> </p> <p><strong>THE RESPONSIBILITIES:</strong></p> <ul> <li> <div>To be responsible for the maintenance of Compliance logs such as Personal Account dealing and Training and Competence records</div> </li> <li> <div>To co-coordinate and maintain approvals of employee brokerage accounts and gift/entertainment expenses</div> </li> <li> <div><span style="mso-list: Ignore;">To </span>monitor staff completion of compliance training</div> </li> <li> <div>To monitor fund transactions and internal watch lists</div> </li> <li> <div>Responsible for all regulatory and compliance administrative tasks including all compliance files in accordance with the regulations, keeping requisite registers</div> </li> <li> <div>Assist MLRO with KYC checks for potential investors and maintain database of documentation</div> </li> <li> <div>To process FSA approved persons applications and other submissions under the registration regime</div> </li> <li> <div>Ensure all personnel, including new hires, have attained and maintain the requisite skills for their job function and keep abreast of available training courses</div> </li> <li> <div>Maintain the Takeover Panel Disclosure regime and submit reports</div> </li> <li> <div>Monitor and maintain global Substantial Shareholding and Short Selling regimes and submit reports</div> </li> <li> <div>Liaise daily with traders and other members of front office concerning regulatory matters</div> </li> <li> <div>Escalate all compliance issues to the Compliance Officer</div> </li> <li> <div>Maintain appropriate knowledge of regulatory implications as they affect the Fund industry</div> </li> <li> <div>Perform annual review of client files to ensure the file and the client identification documents are valid and up to date</div> </li> <li> <div>Assist Compliance Officer to approve and file financial promotions issued by the firm</div> </li> <li> <div>Understand and maintain the group&rsquo;s Chinese Wall procedures</div> </li> <li> <div>Participate in ad hoc Compliance projects</div> </li> <li> <div>To ensure all record keeping and department filing is up to date</div> </li> </ul> <p><strong> </strong></p> <p><strong>EXPERIENCE REQUIRED:</strong></p> <p><strong> </strong></p> <ul> <li> <div>Possess prior experience in a Compliance environment, Fund Management preferred</div> </li> <li> <div>Must have knowledge and an interest in UK Regulatory markets</div> </li> <li> <div>Display regulatory and market awareness in relation to AML/KYC and COB</div> </li> <li> <div>A solid understanding of the FSA Handbook and how the rules apply to Alternate Asset Management<strong><span style="font-weight: bold;"></span></strong></div> </li> <li> <div>Good working knowledge of Word, Excel, PowerPoint and Outlook</div> </li> </ul> <p> </p> <p><strong> </strong></p> <p><strong>For further information please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref Compl 3505</strong></p>