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Our client a growing Investment Management firm are recruiting for a Compliance Executive to join their growing Compliance team.
Client Details
Our client is a well-established Investment Management firm with offices based in the West End of London
Description
- Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.
- Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
- Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally)
- Trade oversight, market abuse monitoring, and long/short disclosures internationally.
- Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as required
- Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
- Monitor changes to U.K. and global legislation and rules affecting the firm's business and advise management and staff of the implications of these changes
- Coordinate and participate in any regulatory examinations as needed
- Conduct review and approve KYC files for accuracy and completeness of KYC documentation
- Maintain records of personal dealing and gifts and entertainment requests and conflicts of interest
- Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
Profile
The Compliance Executive should have:
- 2 years' experience within the investment management industry (or similar) in a compliance role.
- Self-starter with strong execution focus and ability to work independently as well as part of a team
- Good business acumen to identify and connect compliance risks across the organisation
- High level of attention to detail.
- Good organisational and communication skills (both written and verbal)
Job Offer
- An estimated salary range of 45,000 - (phone number removed), depending on experience
- A comprehensive benefits package, including pension and health benefits
- A supportive and collaborative company culture
- Opportunities for professional growth within the financial services industry
- An exciting role based in the vibrant West End of London
We invite you to apply if you have a passion for compliance and want to make a significant impact in the financial services industry
