An Asset Management firm based in Surrey are looking for a Compliance Officer to join their business, manage a small team and hold CF10. An excellent opportunity for someone looking to hold a control function for the first time or alternatively for someone looking to cut back on their commute to London and work closer to home. Main

Responsibilities:
Manage regulatory issues, queries and projects as required, including regulatory changes affecting the business Ensure that the business has appropriate mitigation in place to manage regulatory and compliance risks Conduct an annual review of the Compliance Manual and ensure that relevant internal and external facing policies and procedures are kept up to date Represent Compliance on internal and external committees, working groups, industry seminars etc. Ensure that the monitoring programme is carried out on a timely basis Prepare relevant board and committee papers Ensure compliance with relevant CASS rules Oversight of daily client money responsibilities Job Requirements: At least 5 years compliance experience in an asset management firm. Previous experience holding CF10 preferable but not a must. Team management experience Good communicator with excellent oral and written skills. The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.