Compliance Advisory Officer

3 weeks ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.










THE RESPONSIBILITIES:


  • To build a close working relationship with each of the business units to support Compliance matters as required.
  • To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other members of the Compliance Team - as required, to support the provision of Compliance advice.
  • To track industry developments, for example best practices from trade associations and apply and roll these out within the Business.
  • To assist with the provision of ad-hoc advice to the Public, and Private Markets Groups.
  • To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage these.
  • To support the management of engagement with approved expert networks.
  • To assist with the management of incoming market soundings.
  • To assist with the management of trade restrictions.
  • To assist with the management of Compliance workflows and the integration of a new reg tech system.
  • To manage the addition and removal of entries to Worldcheck and to investigate daily flags.
  • To assist with the management of external KYC requests.
  • To assist with updating and drafting policies, procedures and the Compliance Manual,.
  • To support engagement with the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
  • To assist with the maintenance of records relating to the Senior Management and Certification Regime.
  • To assist with the delivery of new joiner Compliance training.













EXPERIENCE REQUIRED:


  • 𝖬𝗎𝗌𝗍 𝗁𝖺𝗏𝖾 𝖨𝗇𝗏𝖾𝗌𝗍𝗆𝖾𝗇𝗍 𝖬𝖺𝗇𝖺𝗀𝖾𝗆𝖾𝗇𝗍 𝖾𝗑𝗉𝖾𝗋𝗂𝖾𝗇𝖼𝖾
  • Thorough knowledge of the UK regulatory framework.
  • Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions
  • A good understanding of public market asset classes; including equity, credit, fixed income, derivatives and alternative investments.
  • Demonstrable experience of Public Markets Compliance.
  • Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets.
  • Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets compliance.
  • Familiarity with Private Markets Compliance.

















For further information please contact Spencer Evans

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for providing Compliance Advisory support to the Business -...

  • Compliance Advisory Officer

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    8 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Find out if this opportunity is a good fit by reading all of the information that follows below.Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...

  • Compliance Advisory Officer

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Compliance Advisory Officer

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to...

  • Compliance Advisory Officer

    7 days ago

    London, United Kingdom Meraki Full time

    **Compliance Advisory Officer** Perm Role Financial Services London Date: 11/05/2023 Start Date: ASAP We are currently recruiting for a Compliance Advisory Officer on behalf of our financial services client. This role is ideal for someone with good working knowledge of the requirements of the UK and EU financial services regime and key regulations...

  • Compliance Advisory Officer

    4 weeks ago

    London, United Kingdom Interquest Full time

    InterQuest are currently supporting a leading private bank in finding an experienced Compliance Officer to join their Compliance Advisory team and lead on PSD2. This is a great opportunity to progress your career in an established and modern business whereyou will have the chance to broaden your knowledge across multiple products. They are looking for...

  • Compliance Officer

    4 weeks ago

    London, United Kingdom Société Générale Full time

    **Responsibilities**: **Description of the Business Line or Department** The Compliance and Financial Crime Team (CPLE) is a key 2LOD control function within SG Kleinwort Hambros. CPLE comprises the Regulatory Compliance team, UK Financial Crime team and local offshore Compliance teams in Channel Islands and Gibraltar. These teams support activities across...

  • Compliance Advisory

    4 weeks ago

    London, United Kingdom USS Full time

    **Compliance Advisory** *** **Business Area: Group General Counsel** *** **Place of Work: London** *** **Contract Type: Permanent** *** **When you join USS, the size and scale of our pension scheme means you will have numerous opportunities to learn and develop your career. Given our size you'll have real autonomy and influence as you collaborate...

  • Senior Compliance Advisory

    3 weeks ago

    London Area, United Kingdom Bruin Full time

    I am keen to speak with Senior Advisory candidates who have experience from either the Wealth Management Industry or the Buy side!! You will be required to manage a small team to provide regulatory guidance and all advisory services to all business units. You will be tasked with identifying and rolling out key regulatory projects and undertake the Regulatory...

  • Senior Compliance Advisory

    3 weeks ago

    London Area, United Kingdom Bruin Full time

    I am keen to speak with Senior Advisory candidates who have experience from either the Wealth Management Industry or the Buy side!! You will be required to manage a small team to provide regulatory guidance and all advisory services to all business units. You will be tasked with identifying and rolling out key regulatory projects and undertake the Regulatory...

  • Senior Compliance Advisory

    3 weeks ago

    London Area, United Kingdom Bruin Full time

    I am keen to speak with Senior Advisory candidates who have experience from either the Wealth Management Industry or the Buy side!! You will be required to manage a small team to provide regulatory guidance and all advisory services to all business units. You will be tasked with identifying and rolling out key regulatory projects and undertake the...

  • Senior Compliance Advisory

    3 weeks ago

    London Area, United Kingdom Bruin Full time

    I am keen to speak with Senior Advisory candidates who have experience from either the Wealth Management Industry or the Buy side!! You will be required to manage a small team to provide regulatory guidance and all advisory services to all business units. You will be tasked with identifying and rolling out key regulatory projects and undertake the Regulatory...

  • Compliance Advisory Officer – Global Markets

    4 weeks ago

    London, United Kingdom Paritas Recruitment - Risk Full time

    Paritas Recruitment - Risk London, United KingdomPosted 3 hours ago Hybrid Permanent £75k - £90k - K- Posted by - Keith Jones- Manager - Risk Management & Quantitative AnalyticsFollow - Dynamic desk based Compliance Advisory Officer required for a leading international City based firm. Compliance Advisory Officer - Global Markets A leading international...

  • Senior Compliance Officer

    7 days ago

    London, United Kingdom CLARC Recruitment Full time

    A leading Asset Management business is looking to hire a Senior Compliance Officer to manage their Advisory team, managing a team of 4 direct reports. The successful candidate will have a strong background across Central Compliance / Advisory functions, ready to bring fresh ideas and running with the implementation of new systems & processes across the...

  • AVP, Compliance Advisory

    3 weeks ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an...