Regulatory Compliance Associate with Accountancy knowledge
Regulatory Compliance Associate with Accountancy knowledge
Competitive Remuneration
Based London (West End). Commutable from City.
Risk Management and Compliance job requiring an individual with regulatory compliance experience and an accounting or accountancy related background.
Our Client
Our client is based in Mayfair. They are a small firm with an outstanding reputation for long-only asset investment management.
Job Specification
With exposure to all areas of the business, you will play a key role in the Company’s risk management and compliance functions. Please note that this role requires a compliance “generalist” with experience of reviewing business processes rather than a specialist in a single aspect of compliance.
In particular:
Conducting day-to-day, intra-month and month end compliance monitoring checks
Conducting systematic reviews of the business to meet regulatory and business needs;
Designing additional reviews where changes in operating processes or regulatory requirements present new challenges;
Drafting compliance review reports and working with business groups to establish internal operating procedures;
Assisting dealing and investment management staff with relevant compliance issues (e.g. trade allocation, best execution, conflicts of interest management, WHT, new markets);
Contributing to the maintenance and periodic update of the Company’s compliance manual, including employee training as required;
Remaining abreast of relevant regulatory developments and their implications for the Company; Liaison with audit form and DRS process reviews.
Requirements
You will have experience of regulatory compliance or internal audit.
A good understanding of UK FCA requirements would be advantageous.
Degree educated with an accounting related qualification.
It is essential that you are self-motivated with strong analytical skills and high standards of oral and written presentation.
Relevant phrases
Asset management jobs. Regulatory compliance London. Compliance job in City. Investment Management Compliance careers. Accountancy, accounting and compliance jobs.
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