Compliance Specialist – Asset Management – £50k – £60k
- £50000 - £65000
- London, England, United Kingdom London England GB
- Permanent, Full time
- Carnegie Consulting
- 15 Mar 18 2018-03-15
My client, an innovative fund management firm is looking to hire a Compliance Specialist to be part of a customer facing, energetic and flexible middle office team. You will be an integral part of the compliance function, providing support, advice and guidance to both internal and external stakeholders.
~~Role and Responsibilities.
• On-going Compliance Monitoring including liaison with Appointed Representatives to arrange and lead meetings.
• Participate in Compliance Reviews and instigate appropriate follow-up actions.
• Reviewing financial promotions
• Answering ad hoc compliance issues from Appointed Representatives
• Maintaining Records and Registers.
• Maintain and review Compliance Manual
• Deliver Compliance Training to all relevant personnel
• Help complete Gabriel reporting
• Understand how MiFID II, GDPR and SM&CR will affect the firm
The candidate will have
At least 3 years dedicated compliance experience in a generalist compliance role in a buy side asset management firm.
CISI Compliance Diploma or similar qualification
Experience of Compliance Project work
Ideally you will have experience conducting compliance training.
This is not an AML / KYC / Onboarding role and will not suit someone with this background unless they also have wider generalist compliance experience.
This is a buy side only position, so not for people in banking, insurance, legal or any industry than Alternative Investments.