Our client a growing Investment Management firm are recruiting for a Compliance Executive to join their growing Compliance team.

Client Details

Our client is a well-established Investment Management firm with offices based in the West End of London

Description

Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.
Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
Review of financial promotions in line with FCA COBS rules and other jurisdictions where funds are registered (EU, US and globally)
Trade oversight, market abuse monitoring, and long/short disclosures internationally.
Ensure that policies, procedures and standards of conduct are updated in line with regulatory changes, communicated, understood and appropriately implemented within the office; deliver training as required
Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
Monitor changes to U.K. and global legislation and rules affecting the firm's business and advise management and staff of the implications of these changes
Coordinate and participate in any regulatory examinations as needed
Conduct review and approve KYC files for accuracy and completeness of KYC documentation
Maintain records of personal dealing and gifts and entertainment requests and conflicts of interest
Assist in the preparation of regulatory reporting returns to the FCA within set timeframesProfile

The Compliance Executive should have:

2 years' experience within the investment management industry (or similar) in a compliance role.
Self-starter with strong execution focus and ability to work independently as well as part of a team
Good business acumen to identify and connect compliance risks across the organisation
High level of attention to detail.
Good organisational and communication skills (both written and verbal)Job Offer

An estimated salary range of £45,000 - £(phone number removed), depending on experience
A comprehensive benefits package, including pension and health benefits
A supportive and collaborative company culture
Opportunities for professional growth within the financial services industry
An exciting role based in the vibrant West End of LondonWe invite you to apply if you have a passion for compliance and want to make a significant impact in the financial services industry