Compliance Officer
About the client
Leading Investment firm with an excellent International reputation and presence are looking to hire a high calibre individual for their UK Compliance team.
About the role
This is an excellent opportunity for a Compliance professional to join an established and well run firm. The duties and responsibilities of the role will include co-ordinating global approval of financial promotions liaising with colleagues internationally and providing advice on marketing restrictions.
The role holder will ensure all marketing materials are approved and compliant with COBS 4 as well as conducting weekly monitoring activities in relation to fund dealing activity, review of unusual transactions and monthly monitoring reports.
The role will include advisory activity dealing with Equity Fund Managers. It is key that the candidate is a confident communicator able to establish trusted relationships with the Equity Fund Managers.
What we are looking for
The candidate sought will have previous experience as a Compliance Generalist with knowledge of the FSA Handbook, COBS and AML rules as well as financial promotions and Broker Commissions.
Candidates must be able to demonstrate excellent technical compliance knowledge and experience, excellent stake holder management experience and verbal - written communication.
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