Accessibility Links

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.     


Similar jobs
Business Continuity / Information Security Consultant
  • Location London
  • Salary £550 per day
  • Job type Contract/Temp
  • Sector Law Firm, Banking, Commerce & Industry, Asset Management/Funds , Cyber Security, Resilience , Technology Risk, Insurance , Information Security , Interim, Other Financial Services , Professional Services
  • Description Business Continuity / Information Security - Banking - 6 Months contract - £550 per day - London
Compliance Monitoring Officer
  • Location London
  • Salary £50,000 - £65,000
  • Job type Permanent
  • Sector Asset Management/Funds
  • Description Compliance Monitoring Officer for large Asset Manager
Interim IT Audit Manager
  • Location Midlands
  • Salary £625
  • Job type Contract/Temp
  • Sector Other Financial Services , Commerce & Industry, Interim
  • Description This innovative technology firm required a strong IT Auditor to join their team for a period of 6 months to help with delivery of the internal audit plan. This role will allow you to have a high
Related news