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Job Details for "Experienced Compliance Professional – Investment Sector"
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| r20 |
| Banking / Finance |
| £30,000 to £55,000 pa |
| London |
London
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| Permanent |
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| Job Description |
Experienced Compliance Professional – Investment Sector
Competitive Remuneration
Based London
Risk Management and Compliance position requiring an individual with regulatory compliance or internal audit experience.
Our Client
Our client is a successful and entrepreneurial firm. Established in 1999, our client has grown rapidly to become a market leader in their sector, acting as investment manager principally for pension funds, endowments, family clients and funds of funds based around the world.
Job Specification
With exposure to all areas of the business, you will play a key role in the Company’s risk management and compliance functions. In particular:
Conducting day-to-day, intra-month and month end compliance monitoring checks
Conducting systematic reviews of the business to meet regulatory and business needs;
Designing additional reviews where changes in operating processes or regulatory requirements present new challenges;
Drafting compliance review reports and working with business groups to establish internal operating procedures;
Assisting dealing and investment management staff with relevant compliance issues (e.g. trade allocation, best execution, conflicts of interest management, WHT, new markets);
Contributing to the maintenance and periodic update of the Company’s compliance manual, including employee training as required;
Remaining abreast of relevant regulatory developments and their implications for the Company;
And dependent on qualifications and experience
Contributing to the review and negotiation of investment management contracts;
Liaison with external legal counsel on contractual and jurisdictional issues; and,
maintaining the firm’s private placement restrictions database including taking responsibility for researching new jurisdictions, advising on requisite action and ensuring compliance with ongoing filing and reporting requirements
Requirements
You will have experience of regulatory compliance or internal audit, and ideally a qualification or educational background in companies law.
It is essential that you are self motivated with strong analytical skills and high standards of oral and written presentation.
A good understanding of UK FSA requirements would be an advantage, including familiarity with anti-money laundering best practice.
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