Compliance Officer - AVP Compliance Officer - AVP …

CLARC Recruitment
in London, United Kingdom
Permanent, Full time
Last application, 19 Sep 21
GBP75000 - GBP80000 per annum
CLARC Recruitment
in London, United Kingdom
Permanent, Full time
Last application, 19 Sep 21
GBP75000 - GBP80000 per annum
CLARC Recruitment

Job Title: AVP Compliance Officer

Company Information: A leading global investment management firm is looking to recruit a Compliance Officer. The successful candidate will require a strong technical understanding of equities, and fixed income markets, the trading of these instruments and the regulatory environment in which Asset Managers operate.

Main Responsibilities

  • Thematic Monitoring, including conducting reviews, in conjunction with other compliance team members
  • Support the compliance function in the maintenance of the firm's SMCR Compliance Framework. Including assessing and advising on appropriate exam requirements for new joiners, the delivery of focused Compliance induction training and roll out of web based training across the UK and European business
  • Financial Crime including Market Abuse and AML
  • Reviewing and approving financial promotions relating to Alternatives and new product ranges as they are developed
  • Produce high quality, informative and accurate Management Information regarding the status of the Compliance Monitoring Programme, AML statistics and other Compliance data.

Job Requirements:

  • At least 5 years Asset or Wealth Management Compliance experience
  • Strong technical knowledge - including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager

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