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This is an exciting opportunity to play a prominent role in the firms short term plans while also influencing their mid-term aims and objectives. Firms such as these only every hire the best quality calibre of individual so you will be exposed to the very best in the business.
Responsibility for providing compliance monitoring and support to business as well as keeping policies and procedures up to date as required.
Working with Director of Compliance as part of a small team.
Support the monitoring compliance with FCA and AIFMD matters which includes market abuse, conflicts of interest, marketing rules, anti-bribery, corporate criminal offences, senior managers regime, data security monitoring and non-UK bodies where appropriate.
Ensuring that antimony laundering records are kept up to date including due diligence on fund investors & investments. Responding to anti money laundering requests from external parties.
Responding to requests from regulators, other external parties, external auditors or investor questionnaires.
Other support as required on keeping policies & procedures up to date, monitoring changes to legislation or overseas regulatory requirements. Ongoing GDPR compliance implementation and monitoring processes.
Regulatory support to business as required including miscellaneous projects or to investment teams, compliance matters on a need basis. This includes overseas regulatory clearances and any fundraising activities.
Some knowledge of funds industry and regulatory aspects. At least 8 years' compliance experience.
A key requirement is an ability to communicate and work collaboratively with both internal and external parties. A team player working within Finance Team and across the business.
An ability to take full ownership of completing tasks and prioritising these.
Internal Number: 6545908
About Carnegie Consulting
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