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    Compliance Officer - London, United Kingdom - Eximius Finance

    Eximius Finance
    Eximius Finance London, United Kingdom

    Found in: One Red Cent EUR eFC C2 - 6 days ago

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    Full time
    Description

    Responsibilities:

    • Monitor the regulatory environment to keep abreast of current legislation, key regulatory initiatives and future developments and interpret the impact on all business areas.
    • Assist in the ongoing review and updating of compliance policies and procedures to ensure compliance with applicable laws and regulations
    • Review, operate and/or implement systems for marketing and distribution of investment opportunities, and ongoing review and support for compliance approval of all documentation, marketing material, presentations etc.
    • Review and assess the effectiveness of procedures and controls in practice and assist with the implementation of the groups' monitoring plan.
    • Review processes and procedures relating to the Senior Managers and Certification Regime and, where relevant, the Approved Person Regime. Maintain and update Senior Manager registrations and advise the business in relation to its Certification Regime requirements.
    • Preparation and submissions of FCA reports and returns.

    Qualifications:

    • At least five years' experience in a similar asset management role.
    • Experience working in an asset management setting is desirable.
    • UK legal qualification is preferred but not essential.
    • Strong verbal and written communication ability, with excellent attention to detail.
    • Strong analytical and problem-solving skills, with good attention to detail.
    • Ability to use initiative to progress tasks within the limits of his/her own ability.
    • Ability to multi-task and a proven ability to work unsupervised and operate with a high degree of autonomy.
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