Compliance Officer (CF10) – AIF Experience Required

£70K-£90K + Bonus & Benefits
05 Apr 2019
05 May 2019
Contract Type
Full Time

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.

Main Responsibilities:

  • 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

Job Requirements:

  • 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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