Compliance & Legal
|Salary:||£50000 - £55000 per annum + London Housing Allowance|
|Job Published:||over 4 years ago|
Reporting to the Head of Compliance UK the main purpose of this position is to assist in the execution of the annual compliance monitoring plan, reporting on identified weaknesses and following through to ensure implementation of agreed action points.
The main responsibilities of the position are as follows:
- Manage the day to day execution of the CMP
- Review and approve sales and marketing materials in accordance with the Financial Promotions regime.
- Trade and transaction monitoring and investigating any resultant issues
- Assist with client on-boarding whilst observing all on-going AML/KYC requirements
- Participate in the delivery of training programmes e.g. Market Abuse, Conflicts of Interest etc.
To be considered for this position the successful candidate should possess the following skills and experience:
- Strong knowledge and understanding of the legal and regulatory framework - FCA rules, COBS, COLL etc
- Strong product knowledge of investment products and service including UCITs, OEICs, SICAVs, hedge funds, structured products, treasury/FX, fixed income and equities.
- Experience of implementing an Annual Monitoring Plan with the required reviews.
A full job desription is avilable upon request.
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