Compliance Officer & MLRO
Responsibilities:
- responsibility for the compliance in our MIFID firms engaged in long only investment management;
- Ensure all local regulatory obligations are fulfilled through the implementation and maintenance of a robust compliance monitoring plan including compliance risk assessments;
- Advise, monitor and where necessary educate the business on the practicalities of implementing and maintaining compliance processes, procedures and actions;
- Review and enhance compliance policies and procedures to reflect current regulatory requirements in the UK;
- Provide Investment compliance monitoring (both pre and post trade), reporting, and support, working closely in line with global colleagues;
- Keep abreast of key regulatory and legislative changes which may impact the business and determine with the legal department the necessary course of action;
- Assess and advise on the implication of new business developments;
- Contribute to regular, timely and relevant reporting to the Board, other committees and forums;
Qualifications/ Experience
- 6 years+ compliance experience in the financial services or investment banking industry;
- Relevant qualification(s) in areas such as accounting, business, risk or compliance;
- Working knowledge of UK and EU legislation;
- Exposure to and appreciation of the issues in the management of UCITS and other fund structures;
- Familiarity with compliance monitoring systems including pre and post trade monitoring;
For a Private Confidential discussion please send your details through the link below
Due to the high demand for this role, and the large quantity of applications received, a Paragon consultant will only contact applicants whose experience is deemed suitable for the role. Thank you in advance for your application.
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