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Compliance Officer

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Investment & Middle Office
Job Reference T3A/HGW/28525
Contact Harry Warwick
Date posted 05-04-2018

Our client, a top tier asset manager, is looking for a Compliance Officer to join their Compliance team based in London. The successful candidate will have good experience with Compliance monitoring, ideally from within investment management or a consultancy.

Key responsibilities include:
• Producing and delivering a compliance monitoring programme
• Conducting thematic and periodic reviews according to the compliance monitoring programme
• Escalating issues identified during the review process where required
• Identifying and recording breaches where necessary
• Using findings to assist in the development and updating of a regulatory framework

Required skills and experience:
• Good compliance experience
• Experience conducting monitoring reviews
• Working experience of the processes behind investment management is ideal
• Good knowledge of the regulatory environment both in the UK and abroad
• Analytically minded

For more information please contact Harry Warwick on 020 3145 3362, or

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Director, Compliance, Finance & Legal