Compliance Outsourcing Specialist – Investment Management recruitment
A broad compliance role working with the Senior Compliance Manager providing advisory support to the business and on the planning and implementation of an effective risk based compliance monitoring programme : covering outsourcing relationships with the providers of services to the fund companies
This would be an ideal role for someone with good investment management experience that is looking for a growth opportunity in particular with regard to planning and organisation of outsourcing relationships from a compliance perspective.
Duties and Responsibilities
Conducting ongoing and periodic regulatory risk assessments of outsourced activities in the UK and across Europe;
Helping the Senior Compliance Manager to construct monitoring programmes which reflect the regulatory risks of UK and European business activities and financial promotions;
Working closely with the business on any compliance issues arising from advisory activities
Developing and overseeing compliance self certification by the business including European branches
Acting as a mentor to other members of the compliance team Production of reports to Senior Management on compliance monitoring and advisory activities
Devising and implementing the compliance training programme
Assisting with Depositary and other external audit/compliance visits
Handling routine business as usual compliance enquiries from the business
Assisting with any other regulatory matters as directed by the Senior Compliance Manager
Qualifications
Undergraduate degree or an equivalent combination of training and experience
Relevant industry qualification (IMC and/or IAQ)
Please contact Fergus Hooley on 077252 14435 or email him at fergus.hooley@hays.com for further information