- Competitive Depending on Experience
- London, England, United Kingdom
- Permanent, Full time
- One Ten Associates
- 15 Jan 18 2018-01-15
A fantastic opportunity has come up with a growing multi billion dollar asset manager that is looking to grow its Compliance function. Currently 2 people in the team and looking to hire a 3rd person which is all due to growth and complexity of the firm and represent an exciting time to join the business.
Out client is looking to identify a key hire in the team which continue the support around the annual compliance monitoring plan.
Our client is ideally looking for compliance candidates that have some exposure (1-3 years) to the UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements,
The main tasks will include :
- Performing monthly compliance monitoring to assess the adequacy of the Firm’s compliance with applicable regulations
- Review all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm’s own communications policies
- Periodically assist with the review and update of the Firm’s policies and procedures
- Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
- Assist with project work as required