MERJE are delighted to be partnered with this highly prestigious Fund Manager in their search for an interim Compliance Officer in London.
Working in a highly collaborative and successful environment, you will be part of a team of 3 compliance specialists providing broad regulatory support to the wider business.
Reporting into the Head of Compliance, you will need to hit the ground running and be able to adapt yourself to a varied number of duties, both deputising in a more senior capacity when needed, but also supporting on some of the core compliance duties.
- Perform daily monitoring of client investment restrictions
- Maintain an effective risk-based Compliance Framework, which includes the Compliance Monitoring Programme (covering all relevant areas of the FCA handbook and SEC rules) and maintaining a Compliance Manual covering Compliance policies and procedures.
- Conduct effective compliance monitoring, implementing monthly, quarterly, semi-annual and annual monitoring reviews (following the FCA Handbook and SEC rules).
- Initiate new policies and procedures when necessary. Ensure all policies and procedures remain up to date and duly approved.
- Production of monthly, quarterly, bi-annual and annual compliance reporting to clients
- Review and approve client communications and financial promotions
- Implement Compliance training and competence requirements, including new employee compliance training and annual compliance training.
- Educate and advise senior management and staff on compliance developments and their compliance reporting obligations.
- Best Execution Monitoring
- Conduct and submit SEC Regulatory filings and FCA Regulatory filings
- Record keeping - Conflicts of Interests, including Personal Account Dealing, Gifts and Entertainment, Outside Business Interests and Political and Charitable Contributions
- 6-8 years of generalist Compliance experience gained in a Fund or Asset Manager
- Knowledge of FCA Handbook of Rules
- Excellent verbal and written skills.
- Attention to detail, good communication skills.
- Highly organised with ability to multi-task
Commitment to quality and attention to detail ensuring accurate and timely responses