£80,000-£100,000 basic salary plus package
19 days ago
A boutique Asset Manager is currently looking to recruit a well-rounded Compliance specialist on a 12 month fixed-term contract basis.
The Compliance Officer will be responsible for providing regulatory oversight for the firm and ensure all applicable FCA & SEC regulations and AIFMD obligations are managed accordingly.
Responsibilities will include:
- Project work – this is varying and wide ranging. It can be preparing for new regulation, investigating potential new investments or researching specific legal or regulatory queries
- Compilation and submission of regulatory reporting including GABRIEL, ANNEX IV, ADV
- Maintenance all compliance policies and procedures
- Maintenance of the Compliance Monitoring Plan
- Maintenance of all registers i.e. conflicts of interest
- Compilation of the ICAAP
- Creation of compliance board reports
- Marketing/Promotional material reviews.
- Support for AML/ KYC completion
- Support for FATCA/CRS completion
- 5-8 years’ relevant and broad Compliance experience preferably gained in an Investment or Asset Management environment
- Strong communication and interpersonal skills
- Ability to work well in a small team