Compliance - Asset Management £80k- £90k (6 month FTC) My client, an exceptional London based Asset Management firm with a long standing and strong reputation has an opportunity for a Compliance expert to join their team on a Fixed Term Contract.
This is a generalist role covering Monitoring, Financial Promotions and Regulatory Disclosures.
- Conducting Daily, Weekly and Monthly tasks:
- Best Execution
- Conflicts of Interest
- AML and Client Onboarding
- Market Abuse
- Portfolio Compliance
- Undertaking Surveillance Activity
- Providing input to key committees
- Maintaining Compliance Registers.
- Submitting Take over Panel Disclosures
- Preparing initial drafts to regulatory returns to organisations such as the FCA (GABRIEL)
- Conducting compliance reviews of marketing materials such as quarterly reports and factsheets
- At least 5 years, preferably more within relevant FCA regulated institutions. Ideally Asset Management but Wealth / Investment management / Private Banking or similar organisation may work. - The more junior you are, the more perfect your recent experience has to be!
- A good chunk of this experience should be within Compliance Monitoring.
- Strong Academics an advantage, as are various compliance qualifications and certifications.