Compliance Officer

We are searching for a motivated and experienced compliance officer to join our client in the City, to help develop and manage their compliance processes in effectively managing their fund management and regulatory platform, in following all relevant legal guidelines in line with the FCA handbook. Your duties will include liaising with clients and partners on a day-to-day basis, developing/implementing company policies and ongoing compliance monitoring.

The ideal candidate will be professional, highly-analytical and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and the industry’s principles.

This is an excellent opportunity where you will be working directly with the Operations and Compliance Directors of company in developing and implementing policies throughout the organisation, whilst maintaining a close rapport with clients and partners – offering a varied and flexible role with exposure across the organisation. 

For this role, you must have excellent working knowledge of the FCA handbook (in particular reference to financial services compliance and AIFMD).  Excellent working knowledge of Microsoft Office, in particular MS Word, Excel, Outlook and PowerPoint are required.

Duties of the Compliance Officer:

• Implement and manage an effective legal compliance platform.
• Develop and review company policies.
• Advise management on the company’s compliance with laws and regulations through weekly reporting.
• Liaise with clients and partners in managing any compliance related queries
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all clients and partners are educated on the latest regulations and processes.
• Provide regulatory support and guidance on financial promotions, customer communications, fund offering documentation and website/social media content to all areas of the business.
• Prepare financial promotions and any other reports for Compliance Director sign off.
• Stay informed on relevant regulatory and market updates and use this knowledge to improve processes.
• Identify risks and opportunities to ensure continual development in service, as well as risk mitigation across the business group.

 

Requirements

• Proven experience as a Compliance Officer/Manager
• Relevant qualifications (CISI, Bachelor’s Degree) in law, finance, business management or a related field
• 3-5 years proven experience in a compliance role
• Knowledge of legal requirements and controls (e.g., Anti-Money Laundering, AML, FCA COBs policies)
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Business acumen
• Teamwork skills
• Attention to detail

What they can offer you

• Growth within the organisation into a managerial/directorship position
• Ongoing sponsored training and development
• Share options/Equity
• A competitive salary, complete with optional private medical
• Flexible working arrangement (Office/Remote)
• A challenging, yet rewarding career with exposure across all verticals
• Salary of £35-45k, with optional private medical cover.
   

Whilst the start date is September 2021, an earlier start date can be agreed for the right candidate.

 

 

Location: London | Salary: £35000 - £45000 per year | Job type: Permanent | Posted: 21/06/2021