Compliance Officer – Investment Management (Part-time)

Altus Search
01 Jun 2018
01 Jul 2018
Contract Type
Full Time

Ref: 838ASI

Title:  Compliance Officer – Investment Management (Part-time)

Location: London

Salary: Attractive

Date: 31st May 2018

Our client, a well-known financial institution is looking for a Compliance Officer to provide advice, guidance and support to their investment management business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.

Duties Include:

  • Advice the office on all compliance-related matters, improvement to the firm’s compliance framework and the confirmation of business activities as appropriate.
  • Assist the head office compliance in the understanding of any specific business recommended by the business line.
  • Control compliance with relevant law and regulation.
  • Connect with global teams to advise regulatory issues and support the wider business.
  • Ensure that the business continues the requisite regulatory standards by following inner policies and external UK and overseas regulatory guidelines.
  • Prepare and update internal regulation according to office organization and businesses.
  • Provide current reports to senior management and Group Head of Compliance on a quarterly basis.
  • Responsible for any audit preparation in connection with compliance matters monitoring compliance responsibilities related to the FCA authorization.
  • Coordinate compliance training of London employees.
  • Recommend the Bank on general legal, regulatory and contract matters arising from its London based businesses including Wealth Management, Corporate Advisory & Structuring and Structured.
  • Working individually or alongside the Legal and Transaction Team on transaction assignments and coordinate when necessary with external counsels.

The successful candidate must have Investment Management background, as well as an in-depth knowledge of Operations and Risk Management processes.  You should also possess excellent communication skills and be able to interact at all levels of business efficiently.

If you are passionate about this opportunity, please click the 'Apply' button to send your application or call on +44 20 7430 1831 for a confidential discussion.

Our client is an equal opportunity employer and value diversity in the company. The company does not discriminate based on race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency in relation to this role.

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