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Job Location | London |
Education | Not Mentioned |
Salary | Competitive salary |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent , full-time |
The Role: Investment Guidelines monitoring Assist the firm to meet FCA and SEC regulatory compliance requirements including AIFMD obligations and adhere to all other applicable overseas regulatory requirements. To conduct duties as MLRO, ensuring thatthe firms anti Money Laundering procedures are regularly reviewed and updated as appropriate. Other Generalist roles such as Financial Promotions, PA Dealing and Gifts and Enterntainement etc Key Requirements: Minimum 3-5 years experience in investment businesscompliance. Pre-requisite - Investment Guidelines experience in OMS Good level of knowledge of FCA, SEC and EU (e.g Mifid II) regulatory requirements. Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels. Pleasecontact Danos Consulting if you are keen to learn more about the position.