Compliance Specialist - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

The following attributes are considered essential to this role:

Positive and enthusiastic character, self-motivated and willing to learn;
Experience working in a team environment (willing to interact with Front Office/Legal/Risk on certain tasks) collaborate well with colleagues, work independently and confidently to see tasks through to completion;
Proactive communication and approach, well organised with good attention to detail and an inquisitive mindset / desire to enhance systems and processes;
Prioritisation skills and/or experience working with client demands; this is a hands on role requiring regular meetings;
Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management) for a minimum of 4 years;
Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc);
Deep knowledge of the FCA handbook ideally including MiFID 2, AIFMD, SM&CR and GDPR.

The following attributes are considered desirable for this role:

Compliance, Regulatory Consulting or Legal background;
CISI Compliance Diploma or similar;
Providing compliance advice to Appointed Representatives and portfolio managers;
Experience of project work eg MiFID II/AIFMD;
Experience of providing external and internal training;
Experience of carrying out Compliance Monitoring activities eg best execution, market abuse, PA dealing;
Sound knowledge of Financial Crime (AML/TM/Sanctions/ABC/Fraud, 1st AML operations).

Summary of principal tasks:

Contributing to the Compliance team in a dynamic investment management environment;
Supporting the firm with the onboarding of new clients to establish appropriate compliance infrastructures including due diligence and AML checks, seeking approvals and settingup monitoring programs;
Working with new Portfolio Managers/Appointed Representatives to develop and implement the necessary policies and procedures and providing compliance training;
Coordinating ongoing compliance monitoring including liaising with the Company's appointed representatives to arrange meetings and reviews, participating in compliance reviews and instigating appropriate followup actions;
Reviewing of financial promotions;
Circulating documents; maintaining records and registers;
Experience developing the compliance framework for new operating structures as well as conducting regulatory impact assessments;
Helping with annual review of Risk Assessments;
Circulating documents; maintaining records and registers (Internal Log);
Carrying out compliance monitoring and reporting (internally and to the regulator) per the annual compliance programme;
Review policies and procedures, including the Compliance Manuals;
Assisting with the management of Compliance training;
Anything else that may be reasonably requested and needed by the firm to fulfil its Compliance obligations.