Compliance Consultant Asset Management - London, United Kingdom - AJB Executive Search Limited

AJB Executive Search Limited

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Our client is a small Boutique Asset Management company. They are seeking an experienced generalist Buy

Side Compliance professional to assist them in strengthening and improving the oversight of the appointed representative and advisers using our client's platform.

Our client would prefer that this contract is the only professional work that you would be involved with, for confidentiality reasons.

Would suit a stay-at-home parent with young children, or a seasoned Compliance professional that has since effectively retired but wishes to remain active within the regulatory space for two days a week.

The main purpose of the role
Assist during the initial and ongoing Appointed Representative and Advisers due diligence process.

Manage the regulatory training program and organise training refreshers.

Paralegal assistance with the approval of MOU, AR and secondment agreements,

Regularly review the compliance manual and ensure it is up to date.

Regularly review the financial promotion policy and ensure it is up to date.

Regularly review the Anti Money Laundering manual and ensure it is up to date.

Assist in the review of financial promotions, newsletters, websitesused by the AR.

Monitor the distribution of financial promotions and maintain a log.

Review the investors suitability assessment, notices and certificates.

Assist with the funds bank accounts, brokers and exchanges onboarding.

Monitor the tri-partite agreements between the AIFM/Adviser/Administrator.

Review the AR monthly reports to ensure that they remain within their agreed activities.

Assist during the regulatory reporting process.

Assist with the S21 activities

CANDIDATE PROFILE
Ideally, educated to degree level or equivalent with professional training relevant investment management services.

Regulatory/Compliance knowledge required in following areas:
FCA Handbook

Technical knowledge of the key legal and regulatory framework relating to risk (eg capital requirements, ICARA, liquidity,)

Anti-Money Laundering

Data Protection Act

FCA Conduct Rules

A minimum of 5 years' relevant Buy-Side Compliance experience.

Thorough working knowledge of the investment management regulatory framework.

Able to influence the thinking of Senior Management.

Be seen as an independent-minded individual.

Excellent communication, interpersonal and presentation skills.

Excellent time management, planning and organisational skills essential in order to meet tight deadlines.

Self-motivation and the ability to work with others in a team environment is essential.

High degree of IT literacy (Excel, AirTable, Word, Dropbox

Job Types:
Part-time, Permanent

Salary:
£45,000.00-£55,000.00 per year

Expected hours:
per week

Benefits: