I am currently recruiting a Compliance Officer for a well-respected Global Investment Management organisation. Reporting directly into the Head of Compliance this role will support a range of compliance advisory activities.
Key responsibilities;
- Keep on top of front office related marketing and distribution documents, ensuring these meet the firms regulatory obligations.
- Provide compliance input into a range of projects such as the launch of new products, take on of new clients and other development initiatives.
- Core compliance tasks; PAD, Gifts and SMCR registrations.
- Aiding the rest of the team in adhoc compliance oversight activities
Key skills;
- Minimum of 4 years compliance experience.
- Ideally traditional asset management background with knowledge of Distribution/Financial Promotions rules.
- Ability to build strong relationships with internal and external stakeholders.
- Self-starter attitude with good analytical skills
- Proactive, self-supportive and motivated in the development of a positive compliance culture.
If you are interested in this role, please apply below or contact me for more information.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
