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.