Compliance Officer (CF10) – Asset Management
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.
- 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
- 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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