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Compliance Executive

Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

The Company:Maldon Partners are recruiting a Compliance Executive on a 12m FTC basis for an established Wealth and Investment Management Firm based in London.The firm offers discretional Wealth Managementt to individuals and Families and also Institutional Asset Management with a $6bn AUMHybrid working (3 days in the office)The Role:The purpose of the role is to work in a generalist capacity alongside the Chief Compliance OfficerDay-to-day responsibilities may include:

  • Portfolio reviews (Retail, institutional and UCITS)
  • Monitoring (Best Ex, Market Abuse, Gifts and PAD)
  • Horizon scanning
  • FCA reporting
  • Point of contact for UCITS Funds
  • Updating policies and procedures
  • ESG Obligations
  • SEC Requirements (PAD, Code of ethics)
  • Ad hoc projects
Experience Required:In order to apply for the role you will have: Previous compliance experience gained within an Asset / Investment Management Firm ESSENTIAL Strong knowledge of FCA rules and regulations Understanding of investment portfolios Excellent communication skills Professional qualifications such as CISI, ICA or equivalent DESIRABLESalary:Salary on offer is c£55,000 - £65,000 depending on experience with excellent benefits and bonus.

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