Asset Management Compliance Officer
Our Client seeks a compliance officer to assist its Head of Compliance with investment compliance and business compliance.
You will be expected to take on the basic administration of the compliance function and to execute and develop the day to day monitoring and surveillance as well as to contribute to the formulation of the firm's compliance strategy and policy development.
Your primary duties and responsibilities:
In relation to investment compliance:
* Monitor on a daily basis the compliance of trading on client accounts and investment funds with applicable investment restrictions, using Bloomberg AIM where applicable
* Monitor trading on a daily basis and help ensure best execution is achieved for the firm's clients
* Ensure compliance with the market abuse regime
* Review and where applicable approve preclearance requests for personal account dealing requests
* Supply management information and reports
* Document and report any trading or other operational errors
* Educate and advise senior management and staff on day-to-day compliance issues
* Track regulatory developments that may impact on the firm's activities and assure proactive action is taken to ensure that the firm achieves full compliance in a timely manner
In relation to business compliance:
* Organise, provide and monitor compliance education and training of staff
* Draft and keep up-to-date compliance policies and procedures and perform an annual review of such policies and procedures
* Draft an annual compliance plan
* Carry out compliance risk assessments
* Assist the firm's MLRO with KYC, AML, ABC, sanctions and general financial crime prevention and related reporting of suspicious activity
* Carry out the compliance review of marketing materials and ensure compliance with applicable financial promotion rules
* Monitor compliance with the firm's gift and entertainment policy
* Supply management information and reports
* Educate and advise senior management and staff on day-to-day compliance issues
* Track regulatory developments that may impact on the firm's activities and assure proactive action is taken to ensure that the firm achieves full compliance in a timely manner
* File FSA reports, notifications and applications including for approved persons
Education/Experience Requirements:
* University degree and/or specialist compliance qualification preferred
* Experience in a compliance function at an asset management firm or other financial services organisation
Required Special Skills:
The ideal candidate will have:
* Knowledge of FSA Handbook in particular as it relates to the conduct of asset management business
* Relevant regulatory experience gained ideally within an investment management environment
* Superior organisation/administration skills and attention to detail
* Excellent verbal and written skills
* Will need to be effective at the micro and macro level
* Self-motivated
* Good negotiation skills and ability to persuade others
* Flexible team player and able to work and deliver under pressure
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