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Compliance Executive

Page Personnel Finance
Job LocationLondon
EducationNot Mentioned
Salary£30,000 - £35,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

The role covers a variety of areas to ensure that the organisation conducts business in a compliant manner in accordance with FCA and SEC rules, company policies and procedures.This will include reviewing policies and ensuring compliance with; AML risks, Anti-bribery and Corruption risks, Market Abuse risks, mis-selling and Financial Promotions rules and Conduct of business rules applicable to the business.Client DetailsThe client is a specialist active investment management company offering professional and institutional investors a range of fundamentally research-driven funds diversified by asset class, geography and sector specialisation.Based in their London office, the Compliance Executive is required to support the department with various compliance duties.Description

  • Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
  • Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
  • Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
  • Monitor changes to U.K. legislation and rules affecting the firms business and advise management and staff of the implications of these changes
  • Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
  • Coordinate and participate in any regulatory examinations as needed
  • Conduct review and approve KYC files for accuracy and completeness of KYC documentation
  • Assist and undertake compliance monitoring, audits and risk assessments.
  • Assist the Head of Compliance in maintaining Compliance policies and procedures.
  • Assist in Compliance training for new starters
  • Maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
  • Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
  • Assist in preparation of the risk monitoring reports.
    • Profile
  • Prior experience within the financial services industry in a compliance role would be a plus
  • Self-starter with strong execution focus and ability to work independently as well as part of a team
  • Good business acumen to identify and connect compliance risks across the organisation
  • High level of attention to detail.
  • Good organisational and communication skills (both written and verbal).
    • Job OfferUp to £35,000 annual salaryDiscretionary annual bonus (Performance based)10% non-contributory pension25 days holiday + stat holidayGym memberships subsidisedPrivate health care planSeason ticket loanAnnual company ski trip (partners welcome) Required skills
  • Compliance Executive/Compliance Analyst/Compliance Generalist/Asset Management

    • Keyskills :
    Compliance Executive/Compliance Analyst/Compliance Generalist/Asset Management

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