Clear all search filters

THE COMPANY:

Our client is an instantly recognizable international Asset Manager. With FUM in excess of £300 billion they handle money for Private, Intermediate and Institutional clients across a diverse fund range. They are looking to recruit a Senior Compliance Officer in the Advisory team within the UK Compliance Department.

JOB PURPOSE:

• Working closely with the business in all areas to improve processes and reduce risks to clients and to the company, with specific emphasis on collective investment schemes, retail & institutional marketing and the Client Relationship Management function.
• Assessment of all relevant new / amended regulations and dissemination to business
• Act a deputy to the Money Laundering Reporting Officer
• Ability to act as cover for the rest of the Advisory Team covering all compliance and regulatory issues within the Investment functions, Operations and IT
• Various ad hoc compliance tasks, i.e. approval of PA trades, monitoring the banned / restricted list, approval of presentations, press releases, and advertisements.

EXPERIENCE REQUIRED:

• Graduate with extensive experience in Compliance or Regulatory Consulting.
• Professional qualification in Accountancy or Law, and /or studied for the IMC.
• A clear understanding of Asset Management and a detailed technical knowledge of COLL, the financial promotion rules and Financial Crime.
• The ability to communicate at all levels throughout the Company and the confidence to deal with external bodies (clients, regulators & auditors).

For further information, please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref COMPL3587

Job presented by