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Compliance Officer - Investment / Asset Management - London
September 15, 2018
London, United Kingdom
My client, an investment-led service company which offers a variety of asset management and related services is seeking a compliance monitoring officer. Ideal applicants will have about 3-5 years working knowledge of investment compliance and some knowledge of FCA regulations.
Key focus of the role: * Review investment guideline and regulatory restrictions for the universe of segregated mandates and regulatory rules * Review and test the rule coding already existing as well as help with changes and new mandate on- boarding * Provide assistance to the daily monitoring team for adherence to client investment restrictions, and maintaining the accuracy of investment restriction data on the system * Assist Compliance Managers in the establishment and maintenance of adequate arrangements for awareness and training * Develop and maintain a positive compliance culture through communication and monitoring regulatory responsibilities at all levels; * Assist in producing and reviewing compliance certificates for clients * Assist in completing a number of periodic monitoring reviews and report weaknesses found during monitoring
The Company and team: * Very inclusive culture with the opportunity to rotate to project work ensuring a through grounding in all areas of compliance monitoring * Based in the heart of the city with good access to tube and rail. And excellent views of the square mile and beyond! * The manager on the this team is probably one of it's biggest selling points, a very institutive natural born leader who is motivated by the progression of the team and their careers! * Lots of company social events, Christmas party, summer party etc
Required Experience: * Have 3 to 5 years working experience in a compliance function of an asset management company * Ideally experience in guideline monitoring, rule coding and/or guideline review projects * Experience in UCITS and Investment compliance rules