At a Glance
- Tasks: Monitor compliance and manage financial promotions, AML, and staff conflicts.
- Company: Join a well-established financial services firm known for its professionalism.
- Benefits: Competitive salary of £80,000 to £90,000 and potential for career growth.
- Other info: 12-month fixed-term contract with opportunities for development.
- Why this job: Make a real impact in compliance within the dynamic asset management sector.
- Qualifications: Knowledge of MiFID II, UCITS funds, and compliance regulations is essential.
The predicted salary is between 80000 - 90000 £ per year.
- Compliance Manager role within Equities focused Asset Manager
- Compliance Generalist with a core focus on UCITS Funds
- About Our Client
This role is with a well-established organisation in the financial services industry, recognised for its expertise and professionalism.
The company operates as a medium-sized organisation and is committed to delivering excellence in its field.
Job Description
- Carry out compliance monitoring
- Carry out regular and ad-hoc BAU compliance tasks as per allocation, including but not limited to:
- financial promotions review,
- AML, RFP and DDQ review,
- staff conflicts management,
- FCA returns,
- SMCR related tasks,
- restricted list maintenance,
- investment related Bloomberg AIM tasks)
- Assist with Compliance projects as required
- The Successful Applicant
A successful Compliance Manager should have
- Good working knowledge of Mi FID II topics, COLL, CASS, AML, SMCR, MAR
- Good knowledge of UCITS funds
- What's on Offer
- Competitive salary ranging from £80,000 to £90,000 per annum.
- 12-month fixed-term contract with potential for career development.
- Contact
- Rob Cope
- Quote job ref
- Phone number
- +44 207 776 5935
- Job summary
- Job function
- Compliance
- Subsector
- Compliance Generalist
- Sector
- Financial Services
- Location
- London
- Contract type
- Interim
- Consultant name
- Rob Cope
- Consultant phone
- +44 207 776 5935
- Job reference
- #J-18808-Ljbffr
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