Compliance Officer

4 days ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a global investment management business based in London. They are looking for a Compliance Officer to join the thriving team.









THE RESPONSIBILITIES:


  • Assisting in the development and delivery of relevant compliance policies and procedures;
  • Staying abreast of and advising the business on relevant regulatory changes that impact the strategy, including but not limited to the CSSF and other relevant regulators;
  • Interpreting the impact on the business of regulatory changes and driving the implementation of proportionate and effective system and control changes to ensure compliance;
  • Providing timely regulatory advice to the business, including in support of new business initiatives;
  • assisting business leaders within the strategy to embed relevant policies and procedures;
  • Assisting in the development and delivery of relevant and timely compliance training;
  • Maintaining adequate systems and controls to prevent the strategy being used in the furtherance of financial crime, including but not limited to money laundering, counter terrorism, and bribery;
  • Process management support including KYC and AML checks; enhanced due diligence; oversight of documentation including with service providers, record keeping and filing,
  • Provide input, support and guidance for the completion of initial and ongoing due diligence, including Anti-Bribery and Corruption due diligence, for new investments, including enhanced due diligence; and
  • Providing timely reporting to key stakeholders on relevant matters.
  • Compliance leadership - Ensure the strategy receives timely and relevant compliance and prevention of financial crime support and that there is suitable resource and experience, either internally or externally sourced, to deliver this;
  • Effective implementation -Work with the CCO to Implement proportionate and effective system and control changes in light of changing law or regulation;
  • Keep the Company and senior management abreast of industry trends and issues, interpret the impact of regulatory change, and anticipate areas of focus and attention of regulators;
  • Liaise with the relevant regulators as required;
  • Provide input and contribute to corporate projects and product design;
  • Ensure the Company receives timely and relevant compliance and prevention of financial crime advice;
  • Work with the CCO to keeping the strategy and key stakeholders abreast of industry trends and issues, interpret the impact of regulatory change, and anticipate areas of focus and attention of regulators;
  • Providing input and contribute to corporate projects and product design; and
  • Providing ad hoc advice to stakeholders, as required.










EXPERIENCE REQUIRED:


  • 7 + Years Professional experience in Compliance, preferably with experience working in Africa / SEA / India / Luxembourg
  • Preferably with experience in private markets /asset management / finance in a regulated environment
  • Excellent IT skills (MS Office; Excel)
  • Strong communication skills, ability to influence others and to obtain buy-in
  • Result oriented with focus on high degree of quality












For further information, please contact Duncan Jeffery

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