Compliance Advisory – Asset Management recruitment
Compliance Advisory Officer required by a leading Asset Manager based in London.
This role is to provide compliance advisory services within the Asset Management division of this global financial institution. You will work closely with business partners, Legal and Compliance colleagues in connection with client and prospective client due diligence, new offering compliance reviews, review and evaluation of new Instruments, preparation of client certifications, and the development of enhanced surveillance tools.
Duties Include:
Attend and participate in client and prospective client due diligence meetings to demonstrate the compliance program.
Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs.
Preparation of client compliance certifications.
Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices.
Create and implement compliance training programs.
Miscellaneous projects as required.
You must have a good knowledge of investment instruments including derivatives and familiarity with SEC regulations, UCITs, Investment Adviser's Act, Investment Company Act, ERISA.