Compliance Officer Financial Promotions
3 hours ago
About the Role:
We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring that our financial promotions are compliant with regulatory requirements.
Key Responsibilities:
- Monitor investment guidelines for UCITS funds/segregated mandates using the Charles River system, including reviews of investment guidelines/restrictions for new accounts/products.
- Liaise with Traders/Portfolio Managers and the Portfolio Implementation team regarding general trading queries and trade approvals.
- Assist in the review and sign-off of RFPs and other financial promotions, primarily aimed at professional investors.
- Conduct reviews as part of the compliance monitoring programme, including Best Execution/Fair Allocation Market Abuse, PA Dealing, Gifts & Business Entertainment, Trading Hub Market Abuse/Email Surveillance, and Eligible Markets.
- Approve, monitor, and reconcile Personal Account Trading.
- Assist the compliance team with the Quarterly and Annual Code of Ethics Certifications process.
- Assist with the production of the firm's daily Short Reporting and Monitoring compliance with Transparency Directive for large holdings. Submission of regulatory reports as required.
- Assist senior members of the team with submission of FCA Reg Data Returns.
- Assist with coordination and collation of information for FCA/other regulatory/audit requests for information.
- Respond to client and regulatory requests regarding AML/KYC requirements.
- Provide generalist compliance support in all areas of the programme as directed by the Head of Compliance.
- Support the review, updating, and maintenance of the Firm's compliance policies and procedures.
- Assist the Head of Compliance with Management Information Reporting.
Requirements:
- 2-5+ years of demonstrable generalist compliance experience.
- Financial Services background essential/Asset management exposure preferable.
- General interest and exposure to Securities markets investment-related issues and experience in asset management with an understanding of EU MiFID and UK Reg framework.
- Knowledge of UCITS or COLL (or Central Bank of Ireland), FCA Conduct of Business Rules, SYSC, desirable.
- Investment guideline monitoring using automated systems – knowledge of Charles River system or Bloomberg AIM or similar would be desirable.
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