Compliance Advisory Officer
4 weeks ago
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:
- ???????? ???????? ???????????????????? ???????????????????? ????????????????????
- 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
1 month ago
London, United Kingdom Compliance Professionals Full timeTHE 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 days ago
London, United Kingdom Compliance Professionals Full timeTHE 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
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 Officer
20 hours ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for a Compliance Officer with a Financial Crime focus to join the thriving team. **THE RESPONSIBILITIES**: - Review complex documentation and AML/KYC information for new clients at...
-
Compliance Advisory Officer
2 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE 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
2 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE 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
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 timeJob Description 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...
-
Compliance Advisory Officer
1 month ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 month ago
London, United Kingdom Compliance Professionals Full timeTHE 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 month ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 month ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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
6 days ago
London, United Kingdom eFinancialCareers Full timeWe have partnered with a UK leading private bank who are looking to bring in a Compliance Advisory Officer. They have grown progressively over the years and are keen to ensure that this continues with this hire. The role will exist to ensure that all areas of the bank will be aware of any new financial services legislation and to provide Compliance advice...
-
Assistant Compliance Officer
4 weeks ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for an Assistant Compliance Officer to join the thriving team. **THE RESPONSIBILITIES**: - Provide general regulatory guidance and advisory services to certain internal business...
-
Compliance Advisory Officer
1 month ago
London, United Kingdom Interquest Full timeInterQuest 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...
-
Deputy Compliance Officer
3 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an asset and wealth management specialist. They are looking for a Deputy Compliance Officer to join the London-based team. The team is growing so this is a superb opportunity to be involved in that growth. THE RESPONSIBILITIES: To perform Regulatory horizon scanning and advise the CCO and broader team Manage the compliance calendar...
-
Deputy Compliance Officer
3 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an asset and wealth management specialist. They are looking for a Deputy Compliance Officer to join the London-based team. The team is growing so this is a superb opportunity to be involved in that growth. THE RESPONSIBILITIES: To perform Regulatory horizon scanning and advise the CCO and broader team Manage the compliance calendar...
-
Senior Compliance Officer
4 weeks ago
London, United Kingdom CLARC Recruitment Full timeA 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...