Senior Compliance Officer
The Company:
A market leading global alternative asset manager that provides investment offerings through established funds and bespoke portfolios.
The Role:
Responsible for the day to day compliance related activities for the Group’s offices in the UK, Europe, and Asia under the oversight of the Director of Global Compliance and Compliance Manager
Specific Responsibilities include:
-
Reviewing new rules and regulatory changes impacting the company's offices outside the US including providing a summary of the changes and proposed action plans.
-
Regulatory Filings including oversight on all regulatory filings filed with regulators outside the US and responsibility for maintaining the firms regulatory and compliance calendar.
-
Performing testing of compliance and regulatory related controls to evaluate effectiveness and assisting the Compliance Manager in preparing the compliance monitoring program
-
Assisting in updating and drafting of compliance policies and procedures.
-
Onsite review of Dubai branch office.
-
Review of marketing materials
-
Employee Training
-
Ad-hoc special products
- Supervising the activities of the Compliance Officer in the UK office
The Candidate:
- At least 5 years compliance experience preferably with a global financial services firm, ideally Asset Management.
- Excellent academic credentials
- Strong working knowledge of FSA rules and requirements
- Diploma in investment compliance by CISI a plus
- Proven track record of monitoring duties essential
- Methodical approach with a fastidious attention to detail
- Strong interpersonal skills
- High level of self-motivation
This is a unique opportunity to join a growing and changing business in what is a critical time in their development. Ideally suited for people interested in developing their skills, knowledge base and career in a cutting-edge environment that offers extensive opportunities for training and development at every level!
Leave a Reply
You must be logged in to post a comment.