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.
Our client, a global financial institution is looking for a Compliance Officer to provide advice, guidance and support to their asset management business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.
Liaise with and provide guidance to the front office on compliance issues
Provide detailed compliance advice and guidance in relation to existing and new business initiatives.
Ensure that the business maintains the requisite regulatory standards by following internal policies and external UK and overseas regulatory guidelines.
Develop and deliver compliance training as appropriate.
Serve as the point of contact for the Business in relation to offshore business.
Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them.
Monitor and check for adherence to compliance procedures and controls.
Support regulatory and audit reviews as required and facilitate information requests, meetings, and co-ordinate management responses to examination findings.
The preferred candidate will ideally have either a fund management or discretionary investment management background and possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to firstname.lastname@example.org or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.
Internal Number: 5875264
About Altus Search
eFinancialCareers is a career site specializing in financial services.