Compliance Monitoring Specialist

Compliance Monitoring Specialist

London

up to £80k - £100k

THE COMPANY

Leading Fund Management company that is excelling in its field and has grown over the last 12 months and are looking to expand there Compliance area.

EXPERIENCE & SKILLS REQUIRED

• Previous Asset/Investment Management industry experience.
• MUST HAVE Compliance Monitoring experience.

THE ROLE

The role

As a Compliance Specialist you will be part of a small, customer facing, team providing support, advice and guidance both internally and externally. A key objective is to ensure that our ARs and portfolio managers understand and adhere to the regulatory framework in order that the group can meet its current and future regulatory obligations.

The ideal candidate will have worked in a similarly regulated environment for a minimum of 4 years and have an understanding of FCA regulatory requirements for the investment management industry.

The following attributes are considered essential to this role:

• Positive and enthusiastic character, self-motivated and willing to learn;
• Experience working in a team environment (willing to interact with Front Office/Legal/Risk on certain tasks) collaborate well with colleagues, work independently and confidently to see tasks through to completion;
• Proactive communication and approach, well organised with good attention to detail and an inquisitive mindset / desire to enhance systems and processes;
• Prioritisation skills and/or experience working with client demands; this is a hands on role requiring regular meetings with ARs and portfolio managers;
• Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management) for a minimum of 4 years;
• Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc);
• Deep knowledge of the FCA handbook ideally including MiFID 2, AIFMD, SM&CR and GDPR.

The following attributes are considered desirable for this role:

• Compliance, Regulatory Consulting or Legal background;
• CISI Compliance Diploma or similar;
• Providing compliance advice to Appointed Representatives and portfolio managers;
• Experience of project work eg MiFID II/AIFMD;
• Experience of providing external and internal training;
• Experience of carrying out Compliance Monitoring activities eg best execution, market abuse, PA dealing;
• Sound knowledge of Financial Crime (AML/TM/Sanctions/ABC/Fraud, 1st AML operations).

Summary of principal tasks:

• Contributing to the Compliance team in a dynamic investment management environment;
• Supporting the firm with the on-boarding of new clients to establish appropriate compliance infrastructures including due diligence and AML checks, seeking approvals and setting-up monitoring programs;
• Working with new Portfolio Managers/Appointed Representatives to develop and implement the necessary policies and procedures and providing compliance training;
• Coordinating on-going compliance monitoring including liaising with the Company’s appointed representatives to arrange meetings and reviews, participating in compliance reviews and instigating appropriate follow-up actions;
• Reviewing of financial promotions;
• Circulating documents; maintaining records and registers;
• Experience developing the compliance framework for new operating structures as well as conducting regulatory impact assessments;
• Helping with annual review of Risk Assessments (EWRA/CRA);
• Circulating documents; maintaining records and registers (Internal Log);
• Carrying out compliance monitoring and reporting (internally and to the regulator) per the annual compliance programme;