Compliance Officer recruitment
Some of the responsibilities within this position will include:
• Assisting the Compliance Officer/ MLRO (CF10;11) with the implementation and maintenance of automated and manual pre and post trade systems and procedures - FSA and SEC
• Assisting with audit visits, investigation, ad hoc work and projects
• Ensure that compliance documentation and procedures are regularly reviewed and updated
• Assisting in the on boarding and monitoring of clients by carrying out Due Diligence, Client and Counterparty Classification, AML/ KYC/CDD
• Responsible for the FSA Approved Persons registrations process, to include: Maintaining records, New joiners registration and training, Review of Gift Entertainment registers, Personal Account dealing and TC
• Build and maintain strong relationship with the Front and Back office
As there is regular contact within the business, the incumbent of the role will need to have the gravitas and commercial awareness in order to succeed. You will also need to have relevant Compliance experience, with previous private equity experience desirable but not essential. In return they are offering a starting salary dependant upon experience with a range between £40,000 - £55,000 (potentially more for the right candidate) + excellent benefits including 29 days holiday, bonus, pension, healthcare, gym membership.