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Compliance Officer

  • Job type: Permanent
  • Location: London
  • Salary: £75000 - £95000 per annum + Generous Bonus Scheme
  • Job reference: 314373/001_1528790838
  • Sector: Selby Jennings, Compliance
  • Date posted: 12/06/2018

The Position

Reporting to the General Counsel of the firm the Compliance Officer will ensure compliance oversight of the UK business activities from a general compliance, regulatory and financial crime prevention perspective. Owing to the nature of the firm your work will be varied and you will engage in a wide range of matters.

Salary Range: 75,000-95,000 (basic salary) in addition to a generous bonus allowance.

The Firm

Our client is is a global alternative asset manager that manages assets across three key areas: Hedge/Long-Only Funds, Private Equity and Real Estate predominantly across emerging and frontier markets.

Responsibilities

The Compliance Officer will be responsible for the following:

  • Ensuring that asset management activities be undertaken in a controlled and compliant manner with all applicable laws and regulations.

  • Maintaining close working relationships with management together with being a trusted advisory to the business while keeping an up-to-date knowledge of asset management products.

  • The provision of regulatory advice to the key stakeholders of the firm but will also be responsible for implementing effective measures of controls to mitigate regulatory risks.

  • The provision of compliance advice on current and new products and services as well technologies and applications.

  • The management of the risk based compliance monitoring programme to cover the activities of the UK business including outsourced arrangements, to monitor adherence to FCA regulatory, legal and internal control requirements;

  • The review and updating of policies and procedures on a yearly basis.

  • Financial Crime Prevention.

Skills/Competencies

Good and up-to-date regulatory knowledge covering:

  • Regulatory Compliance: COBS; COLL

Financial Crime Prevention: Money Laundering Regulations 2017, JMLSG, Financial Crime Enforcement Guide

Good and up-to-date products knowledge and asset classes covering.

Good and up-to-date knowledge of the UK/EU Regulatory landscape:

  • Senior Managers and Certification Regime

  • MiFID II; GDPR.


Qualifications

  • Degree educated;

  • Professional qualification(s) desirable;

  • Industry qualifications are an advantage (i.e. UK Financial Regulation; I.M.C etc.);

  • A minimum of 7 years of compliance experience including a detailed knowledge of the FCA handbook and the investment management practice;

  • A good understanding of the legal and risk functions;

  • Very good drafting skills.

Location:
Mayfair, Central London.

If you are interested please contact James Cookson +442037588840

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