Compliance Officer in Asset Management recruitment
A prestigious Asset Management Firm based in the West End is looking for a Compliance Officer to provide day to day general support within a team of 3. Primarily there is an institutional focus for segregated and pooled fund professional clients and final distributors in relation to compliance matters.
The role is a maternity cover and will be a fixed term contract initially for 6 months.
The role will include, but not be limited to: -
- Compliance monitoring using Charles River
- Providing proactive advice and guidance to the business regarding compliance with policies and procedures including insider dealing and restriction lists, market abuse, dealing queries etc
- Approve financial promotions
- Project work linked to new funds - Maintaining breaches and error logs
- Updating compliance manuals and procedures
- Regularly reporting to the Director of Legal and Compliance through meetings and written form
The ideal candidate should have:-
- Prior experience working as a Compliance Officer in a similar role within Asset Management or Banking
- Sound monitoring background and practical knowledge of investment monitoring systems such as Charles River
- Prior experience in advisory compliance
- Knowledge of FSA Rules and Directives such as MiFID, COB, COLL, Market Abuse Directive
If you match the above criteria and are interested please apply on-line or contact Carly McDermott on 0207 390 7290