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A Leading Investment Manager is looking for a Compliance Officer to support the Compliance Managers and the Director of International Compliance in their London Office.
Actively delivering consultative compliance support to the Equity and Fixed Income investment business and support functions as a contact point for Investment Professionals
Using regulatory knowledge and judgement to research and respond to trading issues and provide resolutions an interpretive guidance on trading manual guidance
Researching IPO and making decisions if a client could participate in an IPO or private placement and provide guidance on selling and transfer restrictions including safe harbors from US Securities law
Provide insurance that business conducted with EMEA region complies with relevant laws and regulations (such as Licensing on Corporate and Individual level and maintaining up to date records on the firms licensed individuals)
Responsible for the oversight and maintenance of Regulatory calendar, responding to queries from the regulatory authorities and assisting with regulatory inspection visits
Provide consultative support and advice on Code Ethics and Conduct (Code) and advice the investment business when conflicts of interest may arise
Skills and Qualifications requirements:
Undergraduate degree or equivalent with Professional qualification such as CISI desired.
Minimum of 5 years working knowledge of compliance within an assent management company
Knowledge of UK regulatory regime and FCA regulations and direct relevant experience
Sound knowledge of EMEA regulatory practices, desirable.
Good product knowledge US mutual funds, UCITS products and separate account strategies
If you are interested in applying for this position contact Joe Smith on 02031453376 or e-mail at Joe.firstname.lastname@example.org
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