| Job Title: | Compliance Manager |
|---|---|
| Reference: | COMPL3053 |
| Salary: | Up to £65,000 |
| Location(s): | City of London |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 15-08-2008 |
Description:
THE COMPANY:Our client is one of Switzerlands largest private banks and one of the top asset management specialists in Europe. They currently have over £200 Billion in assets under management and currently employ over 2000 people worldwide.
THE RESPONSIBILITIES:
To carry out the daily monitoring of adherence to client investment restrictions and for maintaining the accuracy of investment restriction data on the system
Provide assistance to other London and Geneva Compliance staff when requested.
Provide fund managers and other staff with timely and pragmatic advice on day to day issues
Ensure all errors and breaches identified are promptly reported and appropriate corrective action taken
Carrying out a risk based compliance monitoring programme
Dealing with Compliance issues surrounding staff starter and leavers
Assist in the response to any reasonable request for information made by the FSA, SEC, CFB or any other relevant regulatory authority
Assist in the establishment and maintenance of adequate arrangements for awareness and training
Development and maintenance of a positive compliance culture through communication and monitoring regulatory responsibilities at all levels
Production of compliance certificates for clients
Reporting weaknesses found during monitoring
Be pragmatic with regard to regulations and new products
Assist Head of Compliance in production of reports to ExBo and Head of Group Risk and Compliance.
EXPERIENCE REQUIRED:
Ideally educated to degree level or posses a professional qualification
Have good working experience in a compliance function of an asset management company
Have a good knowledge of FSA rules and regulations
Have a good knowledge of the finance sector
Maintains up-to-date knowledge of relevant equity practices and dealing procedures
For further information, please contact Spencer Evans
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