Senior Compliance Officer

50000.00 - 60000.00 GBP Annual + GBP50000 - GBP60000/annum
10 Jun 2017
08 Jul 2017
Contract Type
Full Time
Our client, a leading investment management company, is looking to hire a Senior Compliance Officer on a permanent basis.

The role requires an enthusiastic individual, with significant compliance and/or regulatory experience and with strong evidence of a clear desire to work in a dedicated Compliance role.

The individual will build relationships with key stakeholders, deliver an exceptional performance in the daily provision of assigned regulatory activities and help successfully drive through compliant requirements and change whilst maintaining excellent relations throughout the organisation.

Key Responsibilities:

• Work with and support the Head and Deputy Heads of Compliance to help the department in its general objective to ensure that the governance and internal control structures are effective for the Firm as a whole.
• Produce and effectively communicate (verbally and/or in writing, as appropriate) compliance advice which is of high-quality, comprehensive and thoroughly-considered from all relevant angles, in a timely manner.
• Provide advice to the investment management business lines of the Firm and advice may include, but will not necessary be limited to, rules and regulations associated with providing investment advisory services, discretionary management, fiduciary management services to primarily professional clients.
• Manage the Firm's Compliance Officer responsible for Financial Promotions and provide him/her with relevant support, training and guidance, as and when appropriate to help him/her develop.
• Support the Compliance department with the development and implementation of its compliance training program, taking the lead on areas of expertise (e.g. regulatory matters associated with the Firm's investment management business lines).
• Assist the Compliance department with writing up new and updating existing compliance-related policies and procedures, taking the lead on areas of expertise (e.g. regulatory matters associated with the Firm's investment management business lines).

Best Practice:

• Keep current on market conditions, applicable rules and regulations, products and services, etc.
• Adhere to all relevant FCA and other requirements, policies and procedures.

Candidate Requirements:

• Degree (or equivalent) preferred
• Substantial regulatory experience and/or experience of working in a compliance function, preferably in the asset management/servicing sector.
• Significant experience with, or excellent knowledge and understanding of rules and regulations associated with Investment Management.
• Excellent verbal and written communication skills are essential.
• Excellent management and leadership skills, including strong ability to manage more junior members of the compliance department and provide them with suitable support, training, feedback and guidance.
• Practical knowledge and effective application of IT systems including Microsoft Office applications (Word, Excel, Outlook, PowerPoint, Access)
• Strong ability to work and interact effectively within a team