Back to jobs
Compliance Officer - Asset Management / Investment Management
- Posted 20 November 2020
- Salary Negotiable
- Location
- Job type Permanent
- ReferenceLUTERAMCO_1605943385
- Contact NameLatiesha Uter
Job description
An asset management business are looking to hire a Compliance Officer.
Key responsibilities:
- Deep technical FCA regulatory knowledge for the asset management sector and the rules which apply to the business
- Detailed understanding of MiFiD II, AIFMD, SMCR and other relevant European and/or US Regulation
- Draft new policies in response to regulatory change
- Maintenance and development of the Group Compliance Manual and risk and compliance monitoring programme
- Review and sign-off of financial promotions
- Working knowledge of AML and KYC
Successful candidates will have:
- Significant compliance experience within asset management
- Knowledge of AIFMD and SMCR as well as broader knowledge of the FCA handbook
- Experience working with senior stakeholders