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Interim Compliance Officer – Asset Management

  • Location: London
  • Salary: £65-75,000+bens
  • Job type: Contract/Temp
  • Job reference: PWH/169608
  • Sector: Asset Management/Funds , Interim
Job Description

 

Our client is a boutique asset management business, looking to recruit and experience compliance manager for a 12mth maternity contract.

 

Key responsibilities:

  • Compliance advisory / responding to ad-hoc queries.
  • Support quarterly compliance monitoring programme with external consultants.
  • Review and sign off of marketing / financial promotions.
  • Core compliance tasks (compliance registers and logs).
  • Ensure regulatory training and attestations are undertaken on a quarterly basis.
  • Assist with regulatory change projects.
  • Policy review and updating of procedures / documentation.
  • Regulatory reporting (FCA GABRIEL filings)
  • On-boarding: KYC / AML processes.

 

To be considered, you should have a broad range of investment compliance experience and be comfortable working autonomously.     

 

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