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London Home Page > Jobs > Legal > ompliance Officer and MLRO

ompliance Officer and MLRO

london
Posted on: Thursday 24 October
Posting no: 7511966116

London Compliance Officer & MLRO opportunity with top Global Investment Manager
Role Details:

An exciting opportunity has arisen within the London office of a successful investment management firm with a global presence. This will be a stand alone and broad ranging Compliance Officer and MLRO role.
The purpose of this role is to oversee and perform the compliance function for the firm''s UK operations.
You will liaise closely with the Legal and Compliance team in the US.
The day to day role will focus on maintaining the firm''s compliance function as well performing a key function with other regulatory projects related to the firm.
Keeping abreast of regulatory developments and relating these to the business and their potential impact both in the UK and Globally.
Provision of relevant compliance and regulatory advice and guidance to the business.
Managing the firm''s compliance monitoring program.
Providing applicable technical advice on FSA rules and conduct of business sourcebooks.
Testing, maintaining and updating compliance policies and procedures.
Financial promotions reviews.
Compliance related training to staff members.
Handling ad hoc regulatory related projects.
Skill Set Required:

Strong proven track record of working in relevant compliance roles, ideally gained within a UK investment management firm which is also SEC registered.
Strong experience handling core compliance matters, dealing with the regulator ideally as well as drafting regulatory updates and policies for an investment management firm.
Excellent understanding of FSA rules; experience of SEC rules applicable to investment managers is desirable.
Knowledge of Irish UCITS funds and regulatory compliance for marketing and distribution of products across the EEA and the MiFiD passporting regime will have a definite advantage.
Must be strong in person, have excellent communication skills and build and maintain strong relationships both internally and externally.
Strong team player.

Contact the ad poster

 Contacts of a commercial nature will NOT be entertained
or
phone: Black Swan Group on 44 (0)20 3301 5820