Compliance Officer | Fund | CF10/CF11
Compliance Officer | Fund | CF10/CF11
My client, a small and growing fund based in London, are currently seeking a compliance officer to join their team.
Responsibilities include:
*Managing regulatory relationships with the FSA, BaFin, NFA SEC
*Become a CF10/CF11 under the FSA regime
*Keeping up to date with global regulatory developments and updating internal policies and procedures from time to time
*Providing periodic compliance reports to Regulatory Bodies and relevant Boards
*Implementation and on-going enhancement of the compliance monitoring programme.
*Providing accurate and timely advice to business areas
*Reviewing marketing and client documentation to ensure it is fair, clear and not misleading
*Liaising with relevant parties regarding trade reporting and investigations
*Specifying and assisting in the development of IT support from a compliance perspective
*Provision of monitoring and execution functions relating to anti money laundering
*Oversight of personal account dealing and gifts policies
*Identifying and dealing with individual registrations
*Ensuring periodic statements of compliance are provided by employees
The right candidate will be able to assume larger responsibilities as he or she shows that they can be relied upon and has the ability to grasp wider concepts.
Most importantly, you need to display initiative: As a self-starter, you are comfortable starting new projects and are able to suggest (sensible) improvements continuously.
Expected:
*Familiar with UK regulations (FSA), pan-European regulations (ESMA guidelines) and have working knowledge of US regulatory agencies and procedures.
*Have working knowledge of plain vanilla financial instruments (Equities, Bonds, Forwards, Futures, Swaps)
*3-6 years' experience in compliance (from either a compliance advisory or regulatory background, a pure AML background is considered unsuitable for this role)
*Inquisitive, tenacious, able to hit deadlines
*Willing to assume responsibility for decisions
*Excellent communication skills in written and verbal English
*Excellent attention to detail
*You should have strong inter-personal skills and a mature, responsible attitude
If you feel that you have the required skills and experience and would like to be considered for the role, please contact me with an up to date CV and if suitable, I will contact to discuss.
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