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Regulatory Compliance Officer

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/26131
Contact Adam Pollard
Date posted 31-05-2017

Our client, a leading asset management firm is currently looking for a Regulatory Compliance Officer to join their compliance team. The successful candidate will provide support to the Head of London Compliance and regulatory affairs on all regulatory and compliance duties.

As the regulatory compliance officer your responsibilities will include:
• Sound knowledge of FCA Conduct of Business Sourcebook on principles that apply to UK investment management business, including MiFID
• Understanding of other regulatory regimes including SEC and CBI
• Provide senior level support to the Head of London Regulatory Affairs and Compliance with assessment and implementation of regulatory changes affecting the Firm.
• Coordinate with the Firm’s International Regulatory team to develop, deliver and implement monitoring
• Support special and ad-hoc projects

The successful incumbent requires:
• Proficient in use of Excel, Word and Outlook
• Strong verbal and written communication skills
• Ability to meet tight deadlines
• Notable experience within the financial service/asset management
• Degree level education

For more information please contact Harry Warwick on 02031453362 or

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Associate, Consultant