Senior Compliance Officer required by global asset management firm
This will be a broad and varied compliance role, reporting directly to the Head of Compliance. The successful candidate will operate in an autonomous manner and will be focused on all day to day compliance matters.
Responsibilities:
• Take responsibility for the compliance environment, specifically looking at MIFID issues that arise from long only investment management. There will also be a need to look at the international distribution of investment products investment management of funds of hedge funds.
• Comply with local regulations by ensuring they are fulfilled by implementing and maintaining a robust compliance monitoring plan, which will include a compliance risk assessments
• Monitor and provide advice to the client on the practicalities of the implementation and maintenance of compliance processes, procedures and actions.
• Review enhance the compliance policies and procedures in place to reflect the current regulatory requirements within the UK.
• Provide pre and post trade Investment compliance reporting, monitoring and support.
• Act as the MLRO/CF11
• Keep up to date with the key legislative and regulatory changes which may impact the business.
• Assess and advise on the implication of new business developments;
• Contribute to regular, timely and relevant reporting to Liaise with the Board on a regular basis to keep them up to date on any relevant changes.
Experience and Qualifications
• 5+ years compliance experience
• Relevant qualification(s) in areas such as accounting, business, risk or compliance;
• Industry experience and knowledge of UK and EU legislation
• Exposure to and understanding of the concerns in the management of UCITS and other fund structures
• Familiarity with pre and post trade compliance monitoring systems
Key details:
Basic salary: Circa £80,000 + bonus benefits
Location: Central London
Start date: 1-2 months
For further information please contact Ryan Edwards-Pritchard on 0207 332 0300 OR forward an up to date CV to ryan.pritchard@dbfs.co.uk.
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