Part Time Compliance Officer

  • Location:

    London, England

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £60000 - £80000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:

    PTCO_1546429669

  • Published:

    about 2 months ago

  • Expiry date:

    2019-02-01

  • Startdate:

    ASAP

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.