Our client is a highly respected Asset Management firm in London which currently manages around £25bn of assets and they are currently looking to recruit a dynamic new member to join their Compliance team.
This is an excellent opportunity to use relevant experience and learn from experienced team members in a vital, highly respected and valued business area within a successful organisation.
Within this role you will report to the senior member of the Compliance team where you will assist the with various tasks in the areas of investment compliance, non-investment compliance, the Compliance Monitoring Programme, compliance system management and compliance administration.
Key responsibilities include:
- 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
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