- Londres, Angleterre, Royaume-Uni
- CDI, Plein-temps
- Elliott James
- 11 déc. 17 2017-12-11
My client is a market leading buy-side firm that is looking for somebody with a solid legal background within a buy-side firm. If you have compliance experience within a buy-side firm on top of this then it is a huge bonus.
Elliott James Consulting have an exciting opportunity for a Legal and Compliance Assistant to join a market leading Asset Management company in their Legal and Compliance team in London.
Reporting to the Chief Legal and Compliance Officer, you will be instrumental in helping to ensure the
efficient and timely meeting of deadlines, working closely with different teams, in particular the Sales and Client
Services teams, and individuals within the group to ensure that legal and regulatory obligations are adhered to.
The role will include, for example, reviewing bespoke marketing material to ensure it is compliant for the entity to which it will be delivered, drafting contracts with third party marketers, assisting in updating the legal documentation relating to the company products and assisting in ensuring that the products remain compliant with local regulation in the jurisdictions in which they are registered for sale.
Whilst previous compliance experience within an investment management entity is preferred, it is not essential, as
the Chief Legal and Compliance Officer can provide training in this area. Legal experience, either in an investment
management company or in private practice, is, however, required, in order to be able to "hit the ground running".
To assist the Chief Legal and Compliance Officer in ensuring the Group is aware of, and complies with, all legal and
regulatory obligations to which it is subject.
- Taking ownership of the process to ensure all financial promotions are compliant with relevant requirements (first three months).
- Supporting the business in preparing and reviewing contracts and putting other legal arrangements in place (first three months).
- Assisting the Chief Legal and Compliance Officer in maintaining regulatory filings and meeting regulatory obligations (first six months).
- Assisting the Chief Legal and Compliance Officer in keeping abreast of regulatory changes in jurisdictions where the Group’s products are registered (first six months).
Competencies and qualities
- Strong organisational skills
- Attention to detail
- Legal experience required, compliance experience preferred
- Experience in an investment management company, or in private practice
- LLB preferred but not essential