Compliance Monitoring Asset Management
- London, England, United Kingdom London England GB
- Permanent, Full time
- 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.