Compliance - Asset Management £80k- £90k - FTC Compliance - Asset Management £80k- £90k - FTC …

Carnegie Consulting
in London, United Kingdom
Contract, Full time
Last application, 18 Sep 21
GBP80000 - GBP90000 per annum + Good benefits
Carnegie Consulting
in London, United Kingdom
Contract, Full time
Last application, 18 Sep 21
GBP80000 - GBP90000 per annum + Good benefits
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.

The Role

Compliance Monitoring

  • 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.

Regulatory Disclosures

  • Submitting Take over Panel Disclosures
  • Preparing initial drafts to regulatory returns to organisations such as the FCA (GABRIEL)

Financial Promotions

  • Conducting compliance reviews of marketing materials such as quarterly reports and factsheets

The Candidate

  • 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.
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