Compliance Assistant Manager (6 month FTC)

  • Market Rate
  • London, England, United Kingdom
  • Contract, Full time
  • Saxton Leigh
  • 19 Feb 18 2018-02-19

Our client, a globally active asset management firm, are seeking a Compliance Assistant Manager to join the team on a contract basis initially. Their London offices are based in the heart of the City.

THE COMPANY:

Our client is an international asset management firm based in the City. They are seeking a Compliance Assistant Manager to join the team on a contract basis initially.
 

THE RESPONSIBILITIES:

Daily and monthly compliance monitoring - Manage all compliance monitoring tasks as per checklist

Assist Compliance Officer on sign-off of all marketing materials

Maintenance of personal account dealing transactions

Scheduling and administering regulatory returns

Scheduling and administering third-party computer-based training modules and ensuring full completion by staff 

Administering company documents such as Compliance Manual, broker documents, Portfolio Management Rules, and ISAE 3402 report

Assisting Compliance Officer in the implementation of new regulatory rules

Manage the day-to-day administration of compliance records i.e. FCA Annual Controllers Report, Financial Returns, etc.

Manage client files in accordance with FCA regulations and maintain client records including guideline breaches, complaints and termination

 

 

EXPERIENCE REQUIRED:

 

The role of Compliance Assistant Manager is broad and will require you to be flexible and proactive when completing tasks, mainly monitoring.

You will have relevant general compliance experience, in financial companies (Asset Management company experience is preferred but not required).

You will be keen and motivated to learn and progress in your career and deliver effective support to the Compliance Officer on day-to-day tasks.

This opportunity is ideally suited to an individual with a strong interest to learn broad general compliance processes in a small company environment.

 

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