| Job Title: | Investment Compliance Monitoring Officer |
|---|---|
| Reference: | COMPL 3194 |
| Salary: | Up to £55,000 |
| Location(s): | City of London |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 27-11-2008 |
Description:
THE COMPANY:Our client is the European arm of a leading financial services group. Managing in excess of $250 billion dollars they are the preferred fund manager for thousands of clients ranging from private individuals to global institutions. Over recent years they have won many industry awards for the Equities and Fixed Income funds.
THE RESPONSIBILITIES:
Daily review of accounts to ensure compliance with client guidelines and any additional regulatory requirements
Monitor work and desk/business reviews as directed by the Compliance Officer to ensure compliance with relevant regulations, internal procedures and controls
Identify, investigate and liaise with relevant business units, as appropriate, to resolve
Provide advice and guidance on the implementation and operation of effective procedures and controls to ensure compliance with applicable rules and regulations
Maintain and up-to-date knowledge of the requirements of your portfolios and act as the main point of contact for any portfolio compliance issues that arise.
Perform risk based monitoring activities in accordance with the agreed Group Monitoring Programme.
EXPERIENCE REQUIRED:
Compliance experience gained within an Asset Manager
Good knowledge of Equities is essential
Educated to degree level or posses a professional qualification
For further information, please contact Mark Elsworthy
