Junior Compliance Officer recruitment
A prominent private equity firm is seeking a Junior Compliance Officer to join its growing team. This is an exciting opportunity to join a well-established alternative investment company and gain exposure to a growing field. Requirements: – Bachelors degree required – At least 1-2 years of buy-side regulatory experience – Experience with personal trading is a big plus – Excellent communication skills
Junior Compliance Officer recruitment
Reporting to:Head of CompliancePrincipal duties:• To provide compliance support and advice to the firm;• To assist in developing policies and procedures to facilitate compliance with laws, regulations and industry best practice;• To manage the Compliance Monitoring Programme which includes: PA Dealing Analysis, liaising with other departments to ensure completion of tasks, BIC review, Analysis of expenses, market abuse review and submission of STRs, review of the billing system, trade monitoring;• To ensure that staff are properly registered including submitting FSA applications via Read more […]