Compliance Officer
Compliance Officer - £60,000 + bonus - very professional private equity London based company.
London based privately owned investment management and corporate finance organisation is looking for a Compliance Officer MLRO to carry the CF10 CF11 regulated functions.
It's a 'Big Job' you will be required to be 'Hands On' duties will include:-
• Be approved by the FSA for CF11 (MLRO) and CF10 (Compliance Officer)
• Operate within agreed authority levels, as determined by the Board.
• Report directly to the Managing Partners/Board.
• Primary point of contact with the FSA and HMRC.
• Provide compliance advice for all aspects of the business.
• Responsible for approving financial promotions.
• Manage the back office department.
• Produce monthly compliance reports containing Management Information for Managing Partners.
• Review and update policies and procedures.
• Keep abreast of all new legislation and how it affects the business.
• Handling of all complaints.
• Liaising with registrars.
• Updating and implementing the Compliance Monitoring Programme.
• Assisting with staff training.
• Liaising with the accountant on producing monthly and yearly accounts.
• Completing of VAT returns.
• Processing of all supplier customer invoices.
• Joint responsibility of finance role (small part of the role, training provided)
The successful candidate will ideally have a Private Equity background with excellent knowledge of private client business. You will be aware of current regulatory issues and possess excellent communication and interpersonal skills to deal with Senior Management.
A fantastic opportunity to join a leading investment management firm, for more information or a confidential chat please call Richard Edgerton on 01737 824 021
TLP Consultancy Ltd is acting as an Employment Agency in relation to this vacancy.