Compliance Executive - Investment Management

Our client a growing Investment Management firm are recruiting for a Compliance Executive to join their growing Compliance team.

Client Details

Our client is a well-established Investment Management firm with offices based in the West End of London

Description

• Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.
• Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
• Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally)
• Trade oversight, market abuse monitoring, and long/short disclosures internationally.
• Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as required
• Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
• Monitor changes to U.K. and global legislation and rules affecting the firm's business and advise management and staff of the implications of these changes
• Coordinate and participate in any regulatory examinations as needed
• Conduct review and approve KYC files for accuracy and completeness of KYC documentation
• Maintain records of personal dealing and gifts and entertainment requests and conflicts of interest
• Assist in the preparation of regulatory reporting returns to the FCA within set timeframes

Profile

The Compliance Executive should have:

• 2 years' experience within the investment management industry (or similar) in a compliance role.
• Self-starter with strong execution focus and ability to work independently as well as part of a team
• Good business acumen to identify and connect compliance risks across the organisation
• High level of attention to detail.
• Good organisational and communication skills (both written and verbal)

Job Offer

• An estimated salary range of 45,000 - (phone number removed), depending on experience
• A comprehensive benefits package, including pension and health benefits
• A supportive and collaborative company culture
• Opportunities for professional growth within the financial services industry
• An exciting role based in the vibrant West End of London

We invite you to apply if you have a passion for compliance and want to make a significant impact in the financial services industry