Senior Compliance Officer

Recruiter
Adzuna
Location
London, UK
Salary
Competitive
Posted
17 May 2019
Closes
26 May 2019
Ref
1075435837
Contract Type
Permanent
Hours
Full-time
Level of qualification
Newly qualified, Qualified
The successful financial services- Senior Compliance Officer will be responsible for Implementing and conducting a risk-based Compliance Monitoring Programme (e.g. best execution, transaction reporting, advice letter reviews and AML checks). Working with various business areas to obtain required input and assistance with Compliance monitoring testing. Submitting regulatory returns to the FCA via GABRIEL. Submitting FCA applications (e.g. Form As). Dealing with gifts and PA dealing requests. Identifying and reporting instances of non-compliance and liaising with the business to ensure any required remedial actions are undertaken. Communicating with and assisting all areas of the business, where required, on general compliance matters. Preparing compliance related management information. Assisting in the design, implementation and periodic review of policies and procedures. Conducting compliance reviews of marketing materials such as quarterly reports, fund fact-sheets, company presentations, press releases, blog posts and tweets. The successful financial services- Senior Compliance Officer will have: An in-depth knowledge of working in a FCA regulated investment management firm or regulatory consultancy as a generalist compliance officer. Degree in Law/Finance/Accounting would be an advantage. A regulatory or risk background is essential. Solid exposure in Compliance Monitoring. Familiarity with the FCA handbook (e.g. COBS, SUP, IFPRU), MiFID II and EMIR. A confident and engaging personality with an initiative led approach to work. Based in London. Financial Services Advice and Asset Management Firm Based in London Competitive package Based in London

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