Compliance Officer - SMF 17 Compliance Officer - SMF 17 …

CLARC Recruitment
new

in London, United Kingdom
Permanent, Full time
Be the first to apply
GBP70000 - GBP80000 per annum + + Benefits & Bonus
CLARC Recruitment
new

in London, United Kingdom
Permanent, Full time
Be the first to apply
GBP70000 - GBP80000 per annum + + Benefits & Bonus
CLARC Recruitment

An Investment Management firm is looking to recruit a Compliance Officer. Reporting into the Board, the successful candidates will be responsible for all aspects of Compliance and will look to take on the SMF 17 (MLRO) function within 6-12 months of joining.

Salary: £70K-£80K + Bonus & Benefits

Main Responsibilities

  • Provision of support and advice to the business and to compliance colleagues on all regulatory matters.
  • Incorporate regulatory or corporate changes into guidance for the business unit and supporting the enforcement of all applicable regulatory policies applicable to the business unit.
  • Design monitoring and oversight programmes and to carry out the compliance monitoring program to establish ongoing compliance with internal and regulatory requirements.
  • Providing advice and direction to all departments on compliance with the Firm's compliance policies and procedures.
  • Conduct due diligence of clients, counterparties and potential joint venture partners for purposes of general know-your-client, anti-money-laundering and anti-corruption requirements.
  • Reviewing marketing materials and other related materials.

Job Requirements:

  • At least 5 years Compliance experience ideally within the Investment Management industry.
  • Good understanding of AIFM regulations.
  • Proactive approach and able to work independently.
  • Excellent verbal & written communication skills.

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