A small asset management firm are seeking a part time Compliance Officer with five years' experience to work one or two days a week in their London office.
The role is responsible for insuring that legal, regulatory and operational risks are identified, monitored, mitigated and managed. The responsibilities therefore include:
- Advising the Managing Director UK, Business Manager, Head of Compliance, and as appropriate the Leadership team, on policies and procedures to ensure that the firm complies with requirements identified.
- Advising the UK business on legal, tax, regulatory and risk aspects in negotiation with clients, employees and other third parties.
- Liaising and review existing policies to ensure they are fully compliant with current UK legislation and regulatory requirements
- Providing guidance on financial promotions, including but not limited to investment presentations, in keeping with FCA requirements and corporate guidelines.
It is essential that you have a bachelors degree in a relevant subject, e.g. Law, Economics, Finance and have a minimum of five years' experience with an excellent understanding of the rules and regulations applicable to an EEA financial institution in the UK.