Assistant Compliance Manager Wanted by Global Asset Manager recruitment
This exciting will be primarily to give assurance to both the Compliance Department, and the wider business, that CRD Monitoring processes meet regulatory requirements and/or clients best interests. In addition the successful candidate will be expected to support the team, ensure the monitoring plan is adhered to and deal with issues as and when they arise. The candidate will also be expected to provide training to other members of the department in relation to their activities.
Responsibilties
Be the “centre of excellence” for the Compliance Department, working with Risk Management and the asset management business to:
- Ensure remains compliant with these regulatory regimes, where applicable
- Represent compliance interests in projects and working groups
- Provide advice to the Listed Assets business
- Review policies and procedures and undertake compliance forensic monitoring
- CRD guideline monitoring pertaining to regulatory and mandate adherence
- Provide compliance input concerning new mandate take on, especially with regards to CRD
- Liaise with Risk Management in development/enhancement of suitably robust control environment
- Develop reports which enhance the monitoring programme in conjunction with the Compliance Projects Analyst
- Identify and evaluate risks in the Compliance area and develop appropriate controls
Technical Skills Qualifications Required
- Degree educated or equivalent
- IMC or SII Regulation and Compliance Paper
- Detailed knowledge of the FSA COLL, COBS rules
- Knowledge of UCITS, NURS Hedge funds
- Knowledge of fixed income, equities, financial derivative instruments
- Sound knowledge of other FSA regulatory requirements and principles
- Familiarity with Structured Products, Private Equity and Physical Property would be an advantage
- Knowledge of SEC and other overseas regulations would be an advantage
If you feel that you match these qualities send your CV to info@hamlynwilliams.com and one of our consultants will get in touch for more details.
For further information, visit our website:
www.hamlynwilliams.com
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services.