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A leading Asset Management firm in London is looking for a Compliance officer to join their compliance team. This role will assist the Head of Compliance ensuring that the firm, its staff and key stakeholders conduct their business in accordance with the regulatory environment.
As the Compliance officer your main responsibilities will include:
Monitoring of the firms compliance with relevant regulatory and ethical requirements through the day to day compliance control framework. Investigate record and respond to client complaints in line with the Complaints Policy.
Ensuring that financial promotions within the firm are clear, fair and not misleading and comply with all required regulations for the specified audience in the target market (taking into account all conduct risk and TCF issues).
Develop trend analysis on all breaches and errors within the business and recommend controls / mitigation actions to ensure the firm and its key third party service providers maintain a robust control environment.
Assist Senior Compliance Officer with Thinkfolio and front office day to day monitoring, including assistance with dealing tests.
The successful candidate will have:
Specific technical competencies
Basic understanding of FCA,CBI,SEC and UCITS regulations
Basic understanding of global distribution markets
Credibility, professionalism and strong personal integrity
Communicating with impact
Delivery focused, with high energy and drive, and ability to deliver through others
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