Compliance Officer - Asset Management

7 days left

London / London, City of London
£55000 - £60000 per annum + Benefits package
26 Apr 2022
26 May 2022
Claire Tiley
Contract Type
Full Time
0-25% Travel

My client is a blue chip financial services corporation with operations stretched across the globe.

We are seeking to appoint a compliance officer who will assist in the delivery of the annual compliance plan.

The successful candidate will have primary responsibility for providing the business with advice and monitoring to ensure ongoing compliance with regulatory requirements relating specifically to asset management activities.

Ideally we are seeking someone with experience in one of the following
  • FCA Handbook, particularly COBS, COLL MAR, PROD
  • as well as Conduct Risk
  • Financial Crime
  • Data Protection

More specific responsibilities include:
  • Reporting into and supporting the Compliance Manager, you will provide high quality conduct and compliance advice and oversight to the 1st Line Business on key regulatory risks and issues in respect of business as usual activities.
  • You will assist the business in establishing and maintaining sufficiently effective compliance controls and procedures, ensuring that regulatory obligations are met, weaknesses or control failures are addressed by local management and poor customer outcomes are avoided
  • You will conduct independent risk-based monitoring and testing in line with the 1st Line Compliance Plan and ensure there are effective actions addressing the underlying causes of any problems identified.
  • You will provide Compliance reports in respect of risk based monitoring and testing to 1st Line Management and 2nd Line Compliance Function
  • Working with the management you will formulate joint plans for reviewing processes and practices such that any risk is minimised, and transition to new requirements is speedy and effective.

This is an organisation that has always had a highly respected risk, compliance and audit function and so have a good framework embedded through the business. We are seeking a highly professional individual to further cement this relationship and so the successful candidate must have previous compliance experience and be confident when building relationships with stakeholders. It is an excellent opportunity for someone to step up and move their career forward.

Previous asset management experience is essential and this experience must be recent and clearly articulated on your CV.

The role is based in the City but will also feature working from home for a large portion of the week.

For more information please click to apply.

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