Senior Compliance Officer Asset Manager
Role Overview:
Providing support within the Compliance Department which is responsible for providing compliance advice and support for the fund managers, analysts, marketing, sales and product development teams.
Primary Responsibilities:
* Lead the Compliance Monitoring Programme
* Provide day to day advisory assistance
* Work with and provide guidance to more junior members of the team on all compliance matters
* Ensure all compliance policies and procedures are up-to-date and that new procedures are written where necessary
* Assisting the Head of European Compliance with the implementation of new European and US regulations across the firm
* Review marketing material in accordance with FSA regulations and country specific private placement rules
* Assisting in the day-to-day activities of the Compliance Team
* Assisting with Compliance training
Requirements:
* Experience of working in asset management across a broad range of products and of working directly with fund managers, analysts, marketing, sales and product development teams
* Knowledge of regulated funds (UCITS)
* Methodical person with attention to detail, together with strong administrative skills and an analytical approach to problem solving.
* Ability to identify material issues and know when to escalate them. Ability to work to very short deadlines and make quick and reasoned decisions
* Ability to prioritise effectively and manage ongoing work with ad hoc projects and deal with a variable workload
* Excellent inter-personal skills, with a strong personality, confident, highly motivated and organised, team player, but able to operate under their own initiative
* Enthusiastic willingness to learn
* To be IT literate and familiar with Thinkfolio would be an advantage, but not essential
* AML/CDD/KYC knowledge
* International experience would be beneficial, but not essential
* Strong report writing skills
* Knowledge of the FSA Handbook
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