Compliance Monitoring Asset Management

  • Excellent
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Non-disclosed
  • 16 Mar 18 2018-03-16

My client a top Asset Management firm is looking for a Compliance Monitoring person.

Implementing and conducting a risk-based Compliance Monitoring Programme (e.g. best execution, transaction reporting, advice letter reviews and AML checks).
 Working with various business areas to obtain required input and assistance with Compliance monitoring testing.
 Submitting regulatory returns to the FCA 
 Submitting FCA applications 
 Dealing with gifts and PA dealing requests.
 Identifying and reporting instances of non-compliance and liaising with the business to ensure any required remedial actions are undertaken.
 Communicating with and assisting all areas of the business, where required, on general compliance matters.
 Preparing compliance related management information.
 Assisting in the design, implementation and periodic review of policies and procedures.
 Conducting compliance reviews of marketing materials such as quarterly reports, fund factsheets, company presentations, press releases, blog posts and tweets. Knowledge and Experience
 3 years minimum generalist compliance experience in a FCA regulated investment management firm or regulatory consultancy.
 Degree in Law/Finance/Accounting would be an advantage.
 A regulatory or risk background is essential.
 Solid exposure in Compliance Monitoring.
 Familiarity with the FCA handbook, MiFID II and EMIR.
 A confident and engaging personality with an initiative led approach to work.