Compliance Officer

1 day ago

Chelmsford, United Kingdom eFinancial Careers Full time

D&A are excited to be working with an industry leading fund administrator, on their search for an experienced Compliance Officer.

You will form part of an established compliance team, providing internal monitoring and support to the business on a day-to-day basis, in accordance with the parameters set out by the board.

**Minimum requirements**
- Comprehensive knowledge of the Authorised Corporate Director/Authorised Fund Manager/Alternative Investment Fund Manager or fund administration environment.
- Relevant compliance monitoring experience of fund accounting, fund administration, pricing, or investment management
- Good knowledge of the FCA Regulatory environment (COBS/COLL/SUP/FUND/CASS)

**Duties and Responsibilities**
- Conduct internal monitoring of regulated Funds activities such as Fund Administration, Shareholder Services and Fund Accounting in accordance with the FCA Rulebooks (such as SUP, COBS, COLL, FUND and CASS)
- Maintaining and enhancing compliance policies and procedures, in conjunction with the Senior Compliance Officer.
- Conduct internal reviews and investigations of breaches and compliance issues.
- Provision of regulatory documentation, Prospectus, KIIDS, RegData and Connect submissions.
- Provide regulatory support to the business regarding product implementation, revision and submission.
- Ad hoc projects and tasks as directed by the Senior Compliance Officer

**Skills and Competencies**
- Excellent all-round communication and report writing skills.
- Ability to self-organise and motivate

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