|Location:||City of London, London|
Compliance & Legal
|Salary:||£80000 - £90000 per annum|
|Job Published:||almost 5 years ago|
The main responsibilities of thr position are as follows:
- Conduct detailed monitoring reviews as per the internal risk -based programme taking into consideration emerging risks and the applicable FCA rules and regulations.
- Liaise with the business and appropriate stakeholders in the identification and remediation of any monitoring issues arising in a timely fashion.
- Ensure that any issues requiring corrective action are duly dealt with and reported to the appropriate management in a timely fashion.
- Collate and provide analysis of the relevant MI in respect of risk based monitoring and its potential impact on the business.
- Undertake CDD and AML checks on new clients before on-boarding.
- Monitor AML regulatory initiatives ensuring that all such legislation is correctly incorporated within the client's group-wide AML policies.
- Assist in general Compliance tasks as well as ad hoc projects.
- Maintain processes and procedures as required.
The ideal candidate will have experience of the following:
- Experience of Compliance Monitoring and AML
- Experience of the asset management industry
- Familiarity with the applicable FCA rules in respect of asset management as well as excellent knowledge of Financial promotions and funds distribution.
- An understanding of the structure and requirements relating to European domiciled UCITS Funds/alternative and practical experience of at least one of UK, Luxembourg or Dublin funds.
In exchange for the above my client is offering a competitive remuneration package and the opportunity to join a high-calibre, intellectually challenging environment.
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