Compliance Officer (part-time) recruitment
Responsibilities include (but are not limited to):
Regulatory Compliance
• Ensure that the firm remains compliant with all applicable UK US regulations and codes of conduct
• Keep senior management aware of their regulatory responsibilities, changes to rules and current practice
• Develop and update Code of Ethics, Compliance Manual and internal procedures as required
• Conduct due diligence on new customers and counterparties
• Review all legal documentation (new IMAs, Funds Prospectuses, SLAs, etc)
• Provide advice and guidance to the business on regulatory legal issues
• Provide compliance advice and guidance to funds business e.g. UCITS 4, COLL
• Assist the COO in identifying and developing robust risk controls
• Develop compliance training programmes and guides for staff
• Maintain all relevant compliance records (PA dealing, gifts, conflicts of interest, etc)
• Produce the annual compliance/MLRO report for the board and clients
• Attend to all regulatory filings (newly approved persons, controllers, VOP, 13F, ADV Form, etc)
Compliance Monitoring
• Develop and update compliance monitoring programme taking into account of compliance risks
• Undertake compliance monitoring reviews in line with procedures and FSA regulations.
• Assist the external compliance consultant with their monitoring reviews
• Review and approve all marketing materials
• Review the website to ensure it is compliant with applicable laws
Qualifications Experience
• Extensive experience gained in asset management compliance
• Degree educated or equivalent (law degree advantage)
• Sound working knowledge of COB rules
• Working knowledge in COLL, UCITS and NURS – additional SEC knowledge a plus
• IMC or SII Certificate (advantageous)
• Current or recently registered with the FSA as CF10 11 (strongly preferred)
Skills
• Strong, effective communication skills (written and verbal)
• Ability to negotiate and influence people at all levels
• Self starter and able to meet tight deadlines
• Good analytical, business and problem solving skills
• Ability to work as a team and maintain relationships internally and externally
It is expected that the successful candidate will be able to commit to 3 days / week, although there may be the opportunity to increase this to 4 days.