Compliance & Legal
|Salary:||£400 - £500 per day|
|Job Published:||over 4 years ago|
This is high profile position within my client's newly restructured Compliance Department. the main responsibilities of the role are as follows:
- Provision of the appropriate advice to business and senior management
- Compliance oversight of a newly formed business line
- Implementation of the appropriate control arrangements with an emphasis on trade surveillance and monitoring for the new business line
- Testing and analysis of the appropriate newlu implemented system solutions.
In addition to the above the successful candidate will also be responsible for the following:
- Responsibility for advising business units of the impact of regulations which effect the firm's business e.g. MiFIDII, MAR.
- Assist with the prepartion of the annual thematic monitoring programme - together with tracking, follow up and escalation of actions where appropriate on a timely basis across the business lines.
- Provision of the appropriate training to the firm's staff with respect to compliance standards and relevant procedures and policies and on new and existing regulatory matters.
- Assist in the preparation of reports for senior management, the board and various compliance committees on compliance and regulatory matters.
To be considered for this position the ideal candidate should possess the following skills and attributes:
- Detailed knowledge of institutional investment management
- First hand experience of systems and controls and monitoring arrangements within the UK or European Hedge Fund industry (ESSENTIAL)
- Strong technical knowledge of FCA Systems and Controls, COBS and European Market Abuse Regulation.
- Minimum of 5 years Compliance and Regulatory experience.
A full job description is available upon application.
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