Compliance Officer – Investment Management recruitment
Compliance Officer, Investment Management
THE ROLE
Our client, a boutique investment management company, is seeking to appoint a Compliance Officer. The company is an independent fund management partnership managing about £5 billion. The partnership structure (with no external shareholders) ensures the investment team is stable and makes it easier for the team to take a consistent longer-term investment perspective. The company is authorised and regulated by the Financial Services Authority. Funds are managed for institutional clients which include Pension Funds, Collective Investment Schemes, Life Assurance Funds and other Segregated Schemes.
The role offers an exciting opportunity to become an integral part of the team with a varied workload, which includes some legal elements, offering close interaction with the business and direct exposure to senior management and the Board.
Reporting
The Compliance Officer reports to the Head of Finance and Compliance.
Key Responsibilities
- Undertake disclosures and regulatory reporting to Takeover Panel, FSA and other regulators globally as necessary
- Prepare management information for Board meetings.
- Review and negotiation of Investment Management Agreements
- Assist with routine regulatory notifications.
- Act as secondary point of contact with the FSA
- Day to day advice on marketing, trading, regulatory and operational issues.
- Approval of marketing material.
- Maintenance of Restricted lists.
- Review and approval of new products.
- Due Diligence, AML checks.
- Assessment of any proposed regulatory changes.
- New employee inductions and training.
- Maintenance of policies and procedures/controls.
- Conduct risk-based transaction and theme-based monitoring
PERSON SPECIFICATION
The successful candidate is likely to possess all or most of the following:
Experience
- Providing compliance advice and support to all levels of staff within an asset management or investment banking business for at least 3 years
- Must be familiar with FSA rules including COBS, Prudential, COLL and UCITS provisions
- Ideally the candidate will have familiarity with the Takeover Panel disclosure rules
Personal Attributes
- Proactive and collegiate in approach and be willing to assist the business in all aspects
- A solid academic record (preferably to degree level)
- A strong track record within asset management or investment banking
- A legal background will be a significant advantage.
- Ability to manage multiple tasks
- Able to Prioritise under pressure and maintain efficiency - organised, good time manager
- Flexible - prepared to “roll up their sleeves” to get the task accomplished
- Calm under pressure
- Clear communicator in person and in writing
- Creative and agile learner
- Empathetic with the ethos of working in a small team.
TERMS OF APPOINTMENT
- The salary for the role will be between £55,000 and £70,000 depending on experience
- A generous discretionary bonus scheme paid 6 monthly
- Payments into a pension scheme.
- Life Assurance - four times salary.
- Health Insurance – non contributory for self and family
- 23 days holiday plus bank holidays
- Interest free season ticket loan after a probationary period
- The role will be based in St James, West London
To apply please send your CV plus covering letter, explaining why you are suitable for the role, to:
info@peoplerisksolutions.com