Compliance Officer (SMF16/17)
- Employer
- Finance Network
- Location
- London, United Kingdom
- Salary
- Competitive
- Closing date
- Jun 17, 2022
View more
- Job Function
- Other
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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Our client is a growing Alternative Asset Manager looking to hire a Compliance Officer (SMF16/17), based in their London office.
The job holder will be the sole compliance officer for the UK entity and would be responsible for:
About the Candidate:
The budget is up to £75,000-90,000 basic salary plus yearly bonus
The job holder will be the sole compliance officer for the UK entity and would be responsible for:
- Acting as the Compliance Officer/MLRO for the UK firm (SMF16/17)
- Monitoring and advising on regulatory changes that may impact the firm
- Review and implement the compliance monitoring programme, conducting reviews in accordance to the annual programme
- Draft, review and implement compliance policies
- Horizon scanning / research upcoming regulatory initiatives which may impact the firm
- Review and approve fund documentation for submission to the FCA;
- Liaise with the FCA Fund Supervisions team in relation to queries on fund applications & ad-hoc requests for information.
About the Candidate:
- 4+ years' experience with an alternative investment manager or MIFID investment firm,
- Strong understanding of regulatory rules and guidance in UK
- Strong organisational, analytical and methodical skills,
- Resourceful and capable of working autonomously,
- Confident in their decision making,
- Excellent problem-solving ability,
- Excellent team player,
- Resilient and enthusiastic.
The budget is up to £75,000-90,000 basic salary plus yearly bonus
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