|Location:||City of London, London|
Compliance & Legal
|Salary:||£40000 - £50000 per annum + Benefits|
|Job Published:||about 5 years ago|
My Client, an award winning asset management house, are looking for an enthusiastic Compliance Officer to join their busy team to undertake second line assurance activity using the CMP and to assess the adequacy of systems and controls across the Client's business which includes both UK and Dublin based funds.
The main responsibilities of the role are as follows:
- Risk based Compliance monitoring as per the existing CMP
- Prepare the reports arising from the CMP and engage with the appropriate stakeholders to incorporate identification, review, escalation and remediation of and resultant issues.
- Assist in the preparation of board reports.
- Maintain awareness of the current regulatory landscape as applicable to the client's business.
- Provide Compliance technical support to the business.
The ideal candidate will possess the following skills and experience:
- Graduate calibre, IMC or other industry equivalent experience
- Global asset management experience either in compliance monitoring or a Trustee monitoring background
- Detailed knowledge of Fund Accounting and Transfer Agency functions
- Detailed knowledge of FCA/CBI/SFC/SEC regulations
- Understanding of Financial Crime/AML/KYC regulations and controls
In exchange for the above my client offers a competitive remuneration package and the opportunity to join an award winning and industry leading asset management organisation.
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