COMPLIANCE ADVISORY & MONITORING

Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid); Slough; Hybrid; GBP 40,000 - 55,000; Full time

Benefits offered by this job

Bonus

Hybrid work

Job summary

Investment Management Group is seeking a Compliance Generalist to join its team in London. The role combines monitoring with advisory duties across asset/fund management and wealth management, reporting to the Deputy Head of Compliance.

You will support the monitoring plan, manage workflows and record keeping, oversee financial promotions, and contribute to governance of regulated entities. At least 18 months in compliance monitoring is required, with FCA COBS knowledge and a proactive approach.

Qualifications

• At least 18 months’ experience in compliance monitoring of asset/fund management or wealth management.
• Good understanding of FCA COBS is required.

Responsibilities

• Support the delivery of regulatory advice to the business for day-to-day and change activities across Investment, Client, Product, Distribution & Operations.
• Assist in the execution of the Compliance Monitoring and Surveillance Plan through monitoring activities.
• Manage workflows and record keeping for staff personal compliance obligations.
• Support and operate compliance team frameworks including anti-financial crime, training, reporting and policies.
• Assist in reviewing/approving financial promotions and account openings.
• Support governance and administration activities related to regulated entities.
• Participate in advisory, regulatory change and operations activities as needed.

Skills

Compliance monitoring

Advisory

Regulatory knowledge

Anti-financial crime

Job description

COMPLIANCE GENERALIST ADVISORY & MONITORING - BUY SIDE COMPLIANCE MONITORING EXPERIENCE REQUIRED

Ref: 4204G2

£40K - £55K + Bonus & Bens Hybrid (1d pw WFH) London

Our client, an investment management group, is recruiting a Compliance Generalist to join their dynamic and collegiate compliance team. While you will predominantly be carrying out monitoring you will also be tasked with compliance advisory and other generalist compliance duties, offering a broad and interesting role. Reporting to the Deputy Head of Compliance, duties will include:

• Supporting the delivery of high-quality regulatory advice to the business for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
• Supporting the execution of the Compliance Monitoring and Surveillance Plan through performance of monitoring and surveillance activities.
• Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations.
• Supporting the efficient operation of Compliance team frameworks including for anti-financial crime, training, reporting, regulatory change and regulatory policies.
• Supporting and participating in the activities for reviewing and approving financial promotions and account openings.
• Supporting the governance and administration activities in relation to the businesses’ regulated entities.
• Participating in other activities including for advisory, regulatory change, operations and anti-financial crime as mandated by the Head of Compliance.

You should have at least 18 months experience of compliance monitoring of asset/fund management or else wealth management, either from another regulated firm or a compliance consultancy. Whilst a good understanding of FCA COBS is required, as important will be your self- initiative and proactive approach to work.

This is a great opportunity to build on your monitoring experience while taking on broader Compliance generalist and advisory duties, with a well-established and respected Global Asset Manager.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.