CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
N.B: IN THIS ROLE YOU WILL HAVE TO APPLY TO THE FCA TO BE AN APPROVED PERSON IN ORDER TO HOLD BOTH THE CF10 AND CF11 FUNCTIONS.
Monitoring the activities of UK Branch;
Support the team focusing on regulatory change;
Be responsible for providing regulatory advice and guidance to the business, leading and delivering regulatory change projects, running compliance initiatives, meeting and supporting regulator visits (FCA);
Contribute to the delivery of timely and effective reporting to the Boards and regulator;
Keep senior management and the business informed on regulatory developments;
Assist with assessing the impact on the business of future regulation and implement necessary changes to policies and procedures;
Conducting initial analysis of new regulations in order to determine their applicability to the business and conduct a compliance impact assessment;
Ensuring compliance with the local requirements and regulations;
Responding to compliance enquiries;
Performing regular monitoring to ensure that standards are adhered;
Maintaining and reviewing policies and procedures;
Monitoring and reporting on employees adherence to client policies and procedures, including by carrying out periodic compliance audits;
Reviewing new regulations applicable to investment firms and identifying potential compliance risks;
Developing compliance training materials and performing ongoing compliance training to employees;
Examining, evaluating and responding promptly to client enquiries/grievances.
Assessing the effectiveness of the clients' compliance program and advising on measures to reduce compliance risk.
Knowledge of Forex/FX is highly desireable;
Willingness to apply to the FCA to be a CF10 & 11;
In-depth knowledge of FCA regulatory requirements;
Good analytical skills;
Attention to detail and good organisation skills;
Strong and outgoing personality, with the ability to successfully represent themselves and the Compliance Function;
Excellent command of English, both verbal and written;
Team spirit, excellent problem-solving abilities and willingness to study and develop; 2-3 years experience in the Financial Services Sector
Diploma in Investment Compliance will be considered as an advantage.