Accessability Links

Compliance - Collegiate Investment Manager

  • Location: London
  • Sector: Compliance
  • Salary: Up to £60000 per annum
  • Job type: Permanent
  • Date posted: 06/07/2018
  • Job reference: LH2112

Our client is a specialist global fixed income asset manager

KEY RESPONSIBILITIES

· Develop and maintain a detailed knowledge of the FCA and other regulatory requirements

· Be aware of industry developments / initiatives in the area of regulation and keep abreast of market practice / reaction

· Review AML verification/on-going due diligence in a timely, risk rated manner. Excellent level of knowledge of JMLSG and other relevant AML legislation and guidance

· Maintain relevant Compliance registers ( gifts, PA dealing, conflicts, complaints)

· Review, and assist in completing and approving all Financial Promotions and marketing material

· Trade monitoring under the Market Abuse Regulation (MAR)

· Best execution monitoring

· Undertake transaction monitoring

· Best execution, MIFID II and market abuse monitoring

· Ad-hoc projects as necessary from time to time

QUALIFICATIONS

· Relevant Legal or Compliance Qualification (such as the International Compliance Association Diploma in Compliance or CISI Reg and Compliance Diploma)

Previous Compliance experience essential in the asset management/alternatives industry.

Who we work with

Other Clients