Compliance officer

  • Salaire : GBP81000 per annum
  • Lieu de travail : Londres, Angleterre, Royaume-Uni
  • Type de contrat : Plein-temps
  • Entreprise : JCW Search

My client, a US based Asset Management firm, is currently recruiting for an experienced compliance manager with good knowledge of FCA regulations including AIFMD and UCITS. This is an opportunity to work with a cross European team and to work directly with the Head of Compliance for the EU. This is an urgent role with the manager looking to interview in the next few weeks.

This is a core compliance role, with the manager looking for candidates who have previous Asset Management experience who can hit the ground running and enable the business to continue to improve it's compliance culture.

Key Responsibilities;

  • Review of marketing and presentational materials, as produced by the Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials as well as an increasing number of customised materials
  • Provide training to the Marketing and Sales teams
  • Support Compliance of the EU branch offices and Swiss offices.
  • Support the distributor due diligence process, including limited Compliance review of relevant legal agreements
  • Support the Head of European Compliance through keeping up-to-date with regulatory developments impacting marketing materials, fund distribution, distributor due diligence and cross border fund industry as well as the provision of recommendations for appropriate business procedural amendments when necessary to meet changed regulation

Ideal Qualifications and Experience:

  • 3-5 years' experience in compliance or other relevant function
  • Educated to degree level or equivalent qualification preferably in related areas such as Compliance, Financial Regulation, Law, Governance.
  • Professional qualification such as IAQ, IMC, CFRA, or an Investment Compliance diploma advantageous.
  • Knowledge of FCA rules or equivalent as applicable to asset management and UCITS and AIFMD environments and excellent knowledge of financial promotions and distribution elements.
  • Knowledge of European regulators requirements would be advantageous
  • Genuine interest in regulation.
  • Curiosity about the asset management business and how Compliance can help deliver business goals.
  • Risk Management, Regulatory Compliance & Audit Recruitment
  • Visit us at our website