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Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance as required
Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these change
Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
Coordinate and participate in any regulatory examinations as needed
Conduct review and approve KYC files for accuracy and completeness of KYC documentation
Assist and undertake compliance monitoring, audits and risk assessments
Assist the Head of Compliance in maintaining Compliance policies and procedures
Assist in Compliance training to new starters
Preparing responses of Complaints in a timely manner
maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
Assist in the preparation of regulatory reporting returns to the FCA within set time-frames
Assist in preparation of the half yearly risk monitoring reports
6 months to 2 years experience in a compliance role within an Asset Management firm, Hedge Fund or organisation linked with this sector such as a compliance consultancy.
Self-starter with strong execution focus and ability to work independently as well as part of a team
Excellent interpersonal and communication skills
Good business acumen to identify and connect compliance risks across the organisation
Strong attention to detail
Educated to degree level. A minimum of 2.1, ideally from Russell Group University.
I will do my best to apply to every applicant, depending on numbers. If I don't get back to you it means I have been swamped and with regret, your CV will not be taken forward. From past experience this client will hold out for their ideal candidate so I will only be sending over the most appropriate profiles.