Compliance Officer (CF10) – AIF Experience Required
A niche Investment Management firm based in London are looking for an Compliance Officer to join their business in a wide ranging, hands on role that also requires the individual to hold CF10. Previous CF10 experience is not necessary however the individual must be suitably experienced to hold the function.
- Keeping the group abreast of relevant regulatory developments, making recommendations and leading the implementation of such recommendations.
- Monitoring and ensuring compliance with FCA policies and processes across the business
- Managing maintenance of compliance infrastructure
- Reviewing and commenting on pre-marketing and marketing materials from an FCA compliance perspective
- Liaise with all relevant statutory regulatory organisations, external auditors and any other external bodies which represent the Firm in relation to any of the above matters
- Advising the Board and Investment Committee on the organisation's risk management, compliance and future safeguards.
- Implementing the transition to the Senior Manager & Certification Regime
- Advising the Board to define key risks parameters for the group including Risk Appetite, Risks Tolerance and Capital adequacy
- At least four years Compliance experience working with a similar Investment Management business with strong AIFMD knowledge.
- Previous CF10 experience preferential but not essential.
- Comfortable working in a standalone role as and when required.
- Excellent interpersonal skills.
- Good communicator, comfortable dealing with all levels of staff.
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