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Associate Compliance Officer

4 months ago

London, Greater London, United Kingdom Rev & Regs Full time

Rev & Regs are recruiting for a Compliance Associate role on behalf of an Investment Management firm, based in London.

The successful candidate will require a technical understanding of equities, and fixed income markets, the trading of these instruments and the regulatory environment in which Asset Managers operate.


Responsibilities:
Financial Crime
  • The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust.
KYC, AML, CDD, Sanctions and Financial Crime reporting.
SMCR
  • SMCR Compliance framework maintenance.
Compliance Training - assist in the development and delivery of Regulatory training to the business.
Monitoring and Surveillance
  • Conduct ongoing surveillance and thematic reviews (Mar Market Abuse).
Regulatory reporting - submission of Compliance reports to the FCA.MI
  • Produce high quality, Management Information regarding the status of the Compliance Monitoring Programme, AML statistics and other Compliance data.
Review current policies, procedures, monitoring and controls.

Regulatory implementation projects - assist the business by working with Compliance team to assist with the implementation of Regulatory changes.


Experience Required:
3-5 years Asset Management /Wealth Management Compliance experience.

Strong technical knowledge - including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager.

Experience in implementing processes, controls, governance, and/or compliance activities for regulatory changes, new/changing business models, services/products, and/or technologiesTechnical /Analytical Proficiency - third party systems, MS PowerPoint, Excel, WordLocation: LondonStart: ASAPIf you are interested, please apply today - fraser.