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Senior Compliance Officer

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Michael Page 85000.00 British Pound . GBP Per annum

2021-12-03 13:54:29

Job location Barkingside, Greater London, United Kingdom

Job type: fulltime

Job industry: Other

Job description

Investment Management , London.

Job Description

As the Senior Compliance Officer the role is a hybird of compliance and legal - with key accountabies as below:

Compliance Responsibilities:

  • Act as the compliance officer and MLRO for the UK businesses.
  • Monitoring regulatory changes, identifying gaps, devising and implementing required actions
  • On-boarding (KYC) of clients and counterparties (includes meeting the onboarding requirements of external parties)
  • Carrying out compliance monitoring and reporting (internally and to the regulators) per the annual programme
  • Draft/ review policies and procedures
Legal Responsibilities:
  • Company secretary: drafting minutes and resolutions, preparing meetings and meeting packs, taking minutes, maintaining corporate records
  • Research: ability to research points of law and regulation, assimilate new requirements, advise on them and lead implementation of them
  • Draft /review corporate and commercial documents and agreements
  • Record management: good document management skills; ability to manage the execution of agreements
The Successful Applicant
Qualifications and Experience for the Senior Compliance Officer:
  • Preferably law degree and license and preferably minimum 2 years' experience in corporate or commercial law
  • Accounting degree or auditor training would be considered
  • Good knowledge of FCA regulations (AIFMD vs MIFID) (knowledge of SEC/CFTC regulations as well is a plus)
  • Exposure to UCITs offshore funds regimes, and private placement regimes in Europe
What's on Offer
Competitive salary and career opportunities.

Contact
Eithne Hynes

Quote job ref
JN-112820

Phone number

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