Job Title:	Compliance Officer
Reference:	COMPL 3109
Salary:	Up to £80,000
Location(s):	City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	10-09-2008

Description:

THE COMPANY:

Our client is a well established Hedge Fund based in the UK. They are currently recruiting a Compliance Officer who will be given scope to develop the function.

THE RESPONSIBILITIES:

To undertake compliance monitoring of business functions to ensure compliance with both regulations and internal controls; Daily and ad hoc tasks include approval of PA trades, gift and entertainment log, approved person register and the Restricted List.

Assist with day-to-day compliance issues arising from trading activities including issues associated with the opening of new brokerage accounts and local markets.

Monitor and where necessary arrange compliance with exchange reporting requirements

Assist in the maintenance of restricted securities listings.

To co-ordinate FSA approved persons applications and other submissions under the registration regime

To be cognisant of FSA regulatory projects such as MiFID and ICAAP.

Liaise with external counsel and regulatory bodies as and when requested.

Support the Head of Compliance when considering structural and regulatory issues as the firm grows.

Ensure the compliance manual is up to date and the changes in regulations are considered and communicated.

Perform reviews of client files to ensure files and the client identification documents are valid and up to date in line with applicable Money Laundering Regulation.

Assist with compliance with all Anti Money Laundering Issues including policy, procedure, training and reporting in conjunction with the MLRO.

Assist Finance Department to submit FSA regulatory returns.

Ensure all personnel, including new hires, have attained and maintain the requisite skills for their job function and keep abreast of available training courses.

EXPERIENCE REQUIRED:

Strong compliance Experience

Compliance Experience within Hedge Funds and Asset Management
Degree level education is essential

Professional Qualifications advantageous

For further information, please contact Mark Elsworthy

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