The role covers a variety of areas to ensure that the organisation conducts business in a compliant manner in accordance with FCA and SEC rules, company policies and procedures.
This will include reviewing policies and ensuring compliance with; AML risks, Anti-bribery and Corruption risks, Market Abuse risks, mis-selling and Financial Promotions rules and Conduct of business rules applicable to the business.
The client is a specialist active investment management company offering professional and institutional investors a range of fundamentally research-driven funds diversified by asset class, geography and sector specialisation.
Based in their London office, the Compliance Executive is required to support the department with various compliance duties.
Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
Monitor changes to U.K. legislation and rules affecting the firm’s business and advise management and staff of the implications of these changes
Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
Coordinate and participate in any regulatory examinations as needed
Conduct review and approve KYC files for accuracy and completeness of KYC documentation
Assist and undertake compliance monitoring, audits and risk assessments.
Assist the Head of Compliance in maintaining Compliance policies and procedures.
Assist in Compliance training for new starters
Maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
Assist in preparation of the risk monitoring reports.
Prior experience within the financial services industry in a compliance role would be a plus
Self-starter with strong execution focus and ability to work independently as well as part of a team
Good business acumen to identify and connect compliance risks across the organisation
High level of attention to detail.
Good organisational and communication skills (both written and verbal).
Up to £35,000 annual salary
Discretionary annual bonus (Performance based)
10% non-contributory pension
25 days holiday + stat holiday
Gym memberships subsidised
Private health care plan
Season ticket loan
Annual company ski trip (partners welcome)
Salary: £35000 – £40000/annum
Job Type: Permanent
To apply for this job please visit www.cv-library.co.uk.