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Senior Compliance

  • Job type: Permanent
  • Location: London
  • Salary: £90000 - £100000 per annum
  • Job reference: job Compliance
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 12/01/2018
We are looking for compliance professionals to apply for a role at one of the largest asset managers in the world. The company is an American registered investment advisor and provides mutual and exchange-traded funds and low-cost investments directly to UK investors.


As a Senior Compliance Officer, you will report to the Head of Compliance and MLRO and help manage the department.


The duties include:
  • Assess the effectiveness of the firm’s systems and controls.
  • Updating, maintaining and enhancing the firm’s compliance program,
  • Transaction reporting as required under FCA, MiFID, and EMIR.
  • Liaising with the relevant regulators
  • Keep up to date with regulatory changes and briefing team members.
  • Working with the finance function to prepare regulatory returns to the FCA.
  • Attending Executive Committee meetings to present Management Information (MI) on a range of issues including, Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Clients Assets (CASS), Treating Customers Fairly (TCF), Internal Capital Adequacy Assessment Process (ICAAP), Complaints and staff training and staff competency issues.
  • Administering compliance training to staff
The successful candidate should:
  • Have a minimum of 3 years experience of working as a Compliance Officer
  • Have good communication skills
  • Have excellent knowledge of the FCA rulebook. 
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