Compliance Professional
Compliance Professional
A US leading alternative investments firm, is looking to add a compliance professional to their UK team based in London’s West End. The Compliance Specialist will be reporting to the Corporate Compliance Manager and will be have the opportunity to hold responsibility for aspects of compliance outside of the U.S. They will also become a member of the firm’s US-based Legal Compliance Team and will assist the Corporate Compliance Manager in dealing with general firm-wide compliance issues within the London office.
Key areas of responsibility are:
· Assist in the management of AML/KYC matters for Dublin UCITS funds including monitoring of the firm’s Transfer Agents to ensure adequate procedures are up to date and implemented.
· Assist in the management of AML/KYC matters for new and existing institutional clients and provide support to Client Services in dealing with institutional client account opening requirements.
· Assist the Corporate Compliance Manager in ensuring that the firm is operating in line with FCA requirements. Specifically, monitoring the regulatory environment for any developments and implement such policies and procedures.
· Develop and maintain compliance manual.
· Review financial promotions material
· Maintain personal account dealing records
· Provide oversight of gifts and inducements policies
· Review periodic financial returns (prepared by Finance team in Boston).
· Ensure all statutory and regulatory filings are prepared by Finance team
· Upload all relevant filings on FCA website.
· File financial reports with overseas regulators where required under the firms passport (each European country has different requirements).
· Assist in the maintenance of the ICAAP.
· Assist in the maintenance of the Liquidity Risk Management document.
You will have compliance experience ideally in an asset management firm and an IMC or equivalent, enjoy working directly with stakeholders and enjoy the challenge of working on a cross jurisdiction space.
If this role sounds of interest to you please contact Nicola Gubbins on 0203 465 0110
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