My client, a leading asset manager, are looking to hire Senior Compliance Officer on a contract basis. This is an urgent hire and my client wants to interview as soon as possible. The successful candidate will be responsible for the following:
- Execution of thematic desk reviews in line with the monitoring programme and the associated tracking and follow up of any actions arising.
- Approval of financial promotions
- Staff training - refresher and induction
- Responsible for advising the business in a timely fashion of the impact of any regulatory change e.g. AIFMD, MiFID II
- Maintenance of the Compliance Departments Risk Maps and the associated follow up to any issues arising.
- Implementation of the appropriate control arrangement to include the execution and maintenance of the client's surveillance plan
- Preparation of reports concerning Compliance and regulatory issues for senior management and the board
To be considered for this exciting contract opportunity the ideal candidate should posses the following:
- Strong technical knowledge to include a good understanding of the FCA rules applicable to an equity and fixed income asset manager
- Familiarity with risk-based compliance monitoring
- Knowledge of institutional investment management and market practise
- Extensive experience in a senior compliance role within either the UK or European asset management industry.
A full job description is available on application.
NOTE: Candidates on a notice period of longer than one month will not be considered. In addition, candidates MUST be eligible to work in the UK.