Deputy Compliance Officer – Investment Management
We are recruiting for large Institutional Investment Management firm looking for a Deputy Compliance Officer to join their team. Candidates must have excellent qualifications including a minimum 2.1 degree, alongside relevant Compliance experience within a similar business. An excellent opportunity for a candidate looking to make the next step up on the career ladder.
- Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
- Supporting the Head of Compliance in the maintenance of a good working relationship with the FCA and assisting in the management of any onsite inspection visits.
- Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
- Advising the business on regulatory matters on a daily basis.
- Assist with Guideline Monitoring duties as and when required.
- Carry out compliance projects as and when required.
- At least 5 years Compliance experience working within an Institutional Investment management business.
- Excellent qualifications, education & professional, with a minimum a 2.1 degree ideally from a top university.
- Excellent analytical skills, good IT skills an additional bonus.
- Excellent communication skills, both written & verbally.
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