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Compliance Specialist

Ad Idem Consulting
London, United Kingdom
£60k - £75k
Closing date
Mar 28, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our client is a London-based Asset Manager who are looking for an innovative individual with experience within Compliance.

The role will be broad and varied which will include the below but not limited to:

Contributing to the Compliance team in a dynamic investment management environment;

Supporting the firm with the on-boarding of new clients to establish appropriate compliance infrastructures including due diligence and AML checks, seeking approvals and setting-up monitoring programs;
Working with new Portfolio Managers/Appointed Representatives to develop and implement the necessary policies and procedures and providing compliance training;
Coordinating on-going compliance monitoring including liaising with the Company's appointed representatives to arrange meetings and reviews, participating in compliance reviews and instigating appropriate follow-up actions;
Reviewing of financial promotions;

Skillset desires:

Previous experience of working in a compliance advisory and/or monitoring role (ideally in Asset Management) for a minimum of 4 years;
Proficient in Microsoft Office skills (Excel, Word, Powerpoint, Outlook, etc);
Deep knowledge of the FCA handbook ideally including MiFID 2, AIFMD, SM&CR and GDPR.

Salary for this role is up to £75,000.

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