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Managing day-to-day operations of the compliance program
Executing compliance oversight, monitoring and testing activities and risk assessments
Completing various filings on the FCA Gabriel and Connect portals
Reviewing financial promotions and client questionnaires
Maintaining the UK compliance manual and other policies, procedures and registers
Administering online and in person compliance training
Carrying out AMY/KYC reviews for new and existing client accounts
Assisting with Code of Ethics administration including monitoring personal account dealing and employee conflicts and entertainment reporting
Assisting in oversight of fund service providers including fund administrators and distributors
Monitoring best execution including reviewing electronic messages and telephone recordings
Reviewing wall crossings and market soundings and maintaining the firm's insider list
Preparing and presenting periodic compliance reports to senior management
Advising the business on relevant regulatory developments and changes
5 years relevant experience at a regulated financial services firm in a Compliance role, preferably focused on compliance monitoring
Working knowledge and understanding of FCA and MiFID II rules and requirements as applicable to asset management products and activities
Experience within an asset or investment manager and understanding of order management systems are preferred but not required
Excellent writing, communication and presentation skills
Well organized with the ability to manage multiple projects
High attention to detail, including the ability to maintain orderly documentation and track issues/recommendations
Team player, with the ability to partner with colleagues across the firm and across the globe
Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. The job title or duties and responsibilities may be changed by the Company at any time.