Senior Compliance Officer
Senior Compliance Officer - Investment Management
The Role:
This role is going to suit an ambitious compliance person with lots of energy, personality and gravitas as the successful applicant will be working across the business and closely with senior management in a broad role.
* Providing compliance advice to all business areas ensuring relevant awareness.
* Assist the Head of Compliance with regulatory visits
* Review and maintenance of policy and procedures
* Compliance input in relation to new product launches
* Regulatory change and development advice across the business, including senior management.
* Compliance training.
* Responsible for all Financial Promotions Compliance.
* Responsibility of Systems and Controls review and updates
*Keep records updated across business areas such as PA dealing, conflicts, client money, approved persons etc.
The Opportunity:
* Fantastic opportunity for a compliance professional to join a boutique Investment manager in a growth stage, working in a smaller team being involved in all areas of compliance advice to the business.
The Person:
* Essential: At least 5 years compliance experience with an Asset Manager.
* Essential: Compliance advisory experience.
* Essential: Retail Asset Management background.
* Graduate, versatile and pro-active
Please apply to arrange a meeting for a detailed brief on the role.
Leave a Reply
You must be logged in to post a comment.