Compliance Officer (CF10) – Asset Management

£75K-£85K + Bonus & Benefits
15 Jan 2019
14 Feb 2019
Contract Type
Full Time

An Asset Management firm based in Surrey are looking for a Compliance Officer to join their business, manage a small team and hold CF10. An excellent opportunity for someone looking to hold a control function for the first time or alternatively for someone looking to cut back on their commute to London and work closer to home.

Main Responsibilities:

  • Manage regulatory issues, queries and projects as required, including regulatory changes affecting the business
  • Ensure that the business has appropriate mitigation in place to manage regulatory and compliance risks
  • Conduct an annual review of the Compliance Manual and ensure that relevant internal and external facing policies and procedures are kept up to date
  • Represent Compliance on internal and external committees, working groups, industry seminars etc.
  • Ensure that the monitoring programme is carried out on a timely basis
  • Prepare relevant board and committee papers
  • Ensure compliance with relevant CASS rules
  • Oversight of daily client money responsibilities

Job Requirements:

  • At least 5 years compliance experience in an asset management firm.
  • Previous experience holding CF10 preferable but not a must.
  • Team management experience
  • Good communicator with excellent oral and written skills.


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