Compliance Officer
- Posted: 20/06/2024
- Salary: -
- Location: London, Greater London, United Kingdom
- Job Type: Permanent/Fixed Term
Main Responsibilities:
- Conduct Compliance Monitoring for the Firm’s regulated business, including:
- Monitoring regulatory developments
- Overseeing Portfolio Management and Trading activities
- Reviewing Market Abuse controls
- Maintaining Restricted Lists
- Overseeing SM&CR framework
- Overseeing KYC/AML onboarding/refresher for counterparties
- Maintaining Regulatory Watch for key legislative updates
- Monitoring and approving marketing & sales activities
- Managing Conflicts of Interest
- Overseeing Investment Research framework
- Provide proactive compliance advice on asset management matters.
- Oversee Transaction Reporting controls.
- Controlling money laundering risks in daily operations, including new client onboarding and business profile changes.
- Escalate material compliance/regulatory concerns to the CCO.
- Assist the CCO with reports to Committees & Board.
- Maintain Compliance Policy & Procedures.
Required Skills:
- Minimum 7 years’ experience in Investment Management or similar
- Strong understanding of UK regulatory requirements (e.g., Major Shareholding, SSR, Takeover Panel)
- Solid background in market abuse and trading activities
- Excellent problem-solving skills and 'Can-do' attitude
- Self-supporting, results-oriented, and proactive
- Strong written and verbal communication skills
- Ability to meet tight deadlines
- Proficient with Bloomberg AIM
- Thorough understanding of FCA Rulebooks (SYSC, COBS)
- Knowledge of UCITS and other offshore fund regulatory requirements
- Understanding of European regulations (MiFID II, MAR, local regulations)
Anis Soomaroo
Consultant