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Monitor client investment restrictions and other compliance daily checks;
Compliance Monitoring Programme testing and programme organisation/maintenance;
Assist in the production of monthly, quarterly, bi-annual and annual compliance reporting to clients;
Recordkeeping of Conflicts of Interests, including Personal Account Dealing, Gifts and Entertainment, Outside Business Interests and Political and Charitable Contributions;
Maintain the Compliance Communications Log;
Organise and assist in the delivery of Annual Compliance Training and New Employee Training;
Coordinate the London Compliance team meetings.
Transcribe the minutes from the compliance meetings as required
Maintain the London Compliance Inbox.
Relevant Compliance experience: minimum of 12 months of experience within a Fund, Asset, Investment or PE firm – must be core/central Compliance
Knowledge of FCA Handbook and Rules
University degree preferred
Excellent verbal and written skills
Capable of researching upcoming and ongoing regulatory initiatives
Strong attention to detail and inquisitive nature;
Strong interpersonal skills – engagement with a variety of stakeholders across the business
Strong oral and written communication
To discuss the role in greater detail please contact Ed Manson on 0203 637 1601 or send through your CV to firstname.lastname@example.org
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.