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Compliance Officer

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Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/32696
Contact Joe Smith
Date posted 24-09-2019

An Investment management firm in London is currently recruiting for a Compliance Officer. The primary purpose of a Compliance Officer is to support the Compliance Managers and Director of International Compliance in the effort to ensure that the international operations of the firm comply with relevant legislation and regulation.
As the Compliance officer your main duties include:
 Researching and responding to trading issues. Using regulatory knowledge and judgment to provide appropriate resolution to trading issues and providing interpretive guidance on the trading manual matters;
 Makes decisions on whether clients can participate in an IPO or private placement;
 Licensing (at the corporate and individual level). Responsible for the management of the individual registration process for the EMEA region. Maintain up to date records and information on the firm’s licensed individuals;
 Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules;
 Responsible for the oversight and maintenance of the Regulatory Calendar;
 Providing advice on policy with regards to reporting and prior clearing gifts and entertainment. Uses judgment to determine when and how policy should be applied in atypical scenarios;
 From time to time assist Compliance Managers and Attorneys within Legal department with regulatory projects as well as assisting the Compliance Monitoring Officer with surveillance or thematic reviews;

The successful candidate will have:
 Undergraduate Degree or equivalent
 Knowledge of FCA regulatory framework with some direct relevant experience
 Good product knowledge – US mutual funds, UCITS products and separate account strategies
 Excellent interpersonal and influencing skills
 Able to work under pressure and produce results without close supervision

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Contact Joe about this job

AVP, Consultant