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.
- 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
- 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.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.