Generalist Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Key Responsibilities:


  • Contribute to the drafting and implementation of policies, procedures and monitoring requirements associated with applicable regulatory developments such as MiFID II, AIFMD, UK Senior Managers Regime & Certification regime
  • Assisting with maintaining compliance manuals, policies and procedures for the business in EMEA as required.
  • Supporting the execution of the firm's compliance monitoring program in the UK.
  • Carrying out ecommunications surveillance and assisting in any development work to build out the function more generally with respect to Blackstone's European surveillance program.
  • Providing support to the compliance area on research, inducements, and ensuring a uniformed approach across the region.
  • Assist with the preparation and filing of submissions to regulators
  • Assisting with submission of documentation required for Internal and External Audit requirements.

Key Requirements:


  • Previous experience working within an asset management compliance role
  • Good experience covering the broad range of generalist compliance responsibilities
  • Knowledge of the European regulatory frameworks
  • Understanding of UCITS, MiFID II and AIFMD requirements
  • Fantastic interpersonal skills
**Please contact Nicole Poole at Danos Consulting if you are keen to learn more about this opportunity.
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