At a Glance
- Tasks: Join a dynamic compliance team, focusing on monitoring and advisory duties.
- Company: Respected global asset management group with a collaborative culture.
- Benefits: Competitive salary, bonus, hybrid work, and professional development opportunities.
- Other info: Great opportunity for career growth in a well-established firm.
- Why this job: Enhance your compliance skills while making a real impact in the finance sector.
- Qualifications: 18 months of compliance monitoring experience in asset/fund or wealth management.
The predicted salary is between 40000 - 55000 £ per year.
Our client, an investment management group, is recruiting a Compliance Generalist to join their dynamic and collegiate compliance team. While you will predominantly be carrying out monitoring, you will also be tasked with compliance advisory and other generalist compliance duties, offering a broad and interesting role.
Reporting to the Deputy Head of Compliance, duties will include:
- Supporting the delivery of high-quality regulatory advice to the business for day-to-day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
- Supporting the execution of the Compliance Monitoring and Surveillance Plan through performance of monitoring and surveillance activities.
- Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations.
- Supporting the efficient operation of Compliance team frameworks including for anti-financial crime, training, reporting, regulatory change and regulatory policies.
- Supporting and participating in the activities for reviewing and approving financial promotions and account openings.
- Supporting the governance and administration activities in relation to the businesses’ regulated entities.
- Participating in other activities including for advisory, regulatory change, operations and anti-financial crime as mandated by the Head of Compliance.
You should have at least 18 months experience of compliance monitoring of asset/fund management or else wealth management, either from another regulated firm or a compliance consultancy. Whilst a good understanding of FCA COBS is required, as important will be your self-initiative and proactive approach to work.
This is a great opportunity to build on your monitoring experience while taking on broader Compliance generalist and advisory duties, with a well-established and respected Global Asset Manager.
If this sounds like your next career move and would like to know more, please email your CV to gary@symescollins.com (including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted.
COMPLIANCE ADVISORY & MONITORING in City of London employer: Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
As a leading law firm located in the vibrant City of London, we pride ourselves on fostering a collaborative and inclusive work culture that prioritises employee growth and development. With competitive salaries ranging from £90K to £120K, alongside attractive benefits and bonuses, we offer our team members the opportunity to thrive in a dynamic environment while managing critical compliance functions. Join us to make a meaningful impact in governance and compliance, all while enjoying the perks of a hybrid working model in a prestigious setting.
Contact Details:
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Recruitment Team
