Compliance Officer CSAM UK # 103153
This is a permanent role within the UK Asset Management coverage compliance team for an AVP/VP level Compliance professional to undertake monitoring, surveillance and ad hoc tasks for the UK Asset Management (AM) businesses.
You will be providing compliance support to the CSAM UK regulated entities and to the wider CSAM EMEA team in a monitoring, surveillance and testing capacity as required.
You will work closely with the other team members by supporting and undertaking the day to day monitoring activities and will be responsible for the following tasks:
- Providing reliable support to primarily the Head of CSAM Compliance UK & EMEA plus the CSAM UK coverage team as directed.
- Attending ad hoc meetings.
- Assisting to complete and co-ordinate periodic MI requests.
- Maintaining Complaints log and associated admin.
- Participating in the implementation of surveillance elements for new regulations affecting the business as directed.
- Undertaking the periodic regulatory reporting requirements as directed for UK & US regulators.
- Leading the work to complete the required compliance monitoring programme at a minimum for the CSAM UK regulated entities and other EU entities as directed.
- Become the team representative interfacing directly with the Poland Trade Surveillance Team.
- Undertaking and getting involved in ad hoc Projects as directed.
- Horizon scanning for new Regulatory Change initiatives that will impact the UK entities and producing a periodic report.
- Contributing towards a proactive advisory and monitoring service to business clients.
- Assisting in providing training to staff.
- Fitting in and contributing to a small existing team.
- Complete periodic regulatory returns for UK & US regulators.
- Knowledge to assist in shaping and executing the annual compliance monitoring plans.
- Providing guidance on existing surveillance processes and activities.
Open to discussing flexible/agile working
- He/she will have prior industry compliance experience at an Asset Management institution.
- Preference for a compliance generalist with a core focus in monitoring and surveillance work.
- Preferred experience of alternative and Credit businesses.
- Experience of the completion of a risk based compliance monitoring programme.