We are seeking an experienced compliance professional to join a leading financial services firm in London. This role offers the opportunity to work closely with a dynamic compliance team, ensuring adherence to FCA, European, and local regulatory requirements while supporting a growing business.
Key Responsibilities:
Compliance Advisory:
Ensure the organization adheres to relevant regulatory requirements and internal policies, including the FCA Handbook and group compliance manuals. AML & KYC Management:
Assist the MLRO in client onboarding, maintaining client files, and ensuring AML and KYC procedures are fully compliant. Regulatory Change Management:
Lead initiatives related to regulatory changes, advising stakeholders, and supporting implementation across the business. Risk-Based Compliance Monitoring:
Execute thematic reviews, deliver compliance monitoring reports, and recommend actionable improvements to key stakeholders. Promotional Material Review:
Review and approve marketing materials in line with regional regulations, including AIFMD and MiFID passport requirements. Distributor Due Diligence:
Support the due diligence process for fund distributors and maintain oversight documentation. Investment Guideline Monitoring:
Provide guidance on UCITS, 40 Act, and prospectus rules, including testing controls and advising on compliance. Candidate Profile: Education & Certifications:
Degree-level qualification or equivalent; certifications in compliance (e.g., CISI, ICA) are a plus. Experience:
Proven track record in compliance within asset management, with strong knowledge of the FCA Handbook. Experience with UCITS funds, particularly in an Irish context, is desirable. Skills: Detail-oriented with excellent organizational skills. Ability to work independently and as part of a collaborative team. Proficiency with compliance systems (e.g., Bloomberg, thinkFolio, CRTS) is advantageous.
#J-18808-Ljbffr
Ensure the organization adheres to relevant regulatory requirements and internal policies, including the FCA Handbook and group compliance manuals. AML & KYC Management:
Assist the MLRO in client onboarding, maintaining client files, and ensuring AML and KYC procedures are fully compliant. Regulatory Change Management:
Lead initiatives related to regulatory changes, advising stakeholders, and supporting implementation across the business. Risk-Based Compliance Monitoring:
Execute thematic reviews, deliver compliance monitoring reports, and recommend actionable improvements to key stakeholders. Promotional Material Review:
Review and approve marketing materials in line with regional regulations, including AIFMD and MiFID passport requirements. Distributor Due Diligence:
Support the due diligence process for fund distributors and maintain oversight documentation. Investment Guideline Monitoring:
Provide guidance on UCITS, 40 Act, and prospectus rules, including testing controls and advising on compliance. Candidate Profile: Education & Certifications:
Degree-level qualification or equivalent; certifications in compliance (e.g., CISI, ICA) are a plus. Experience:
Proven track record in compliance within asset management, with strong knowledge of the FCA Handbook. Experience with UCITS funds, particularly in an Irish context, is desirable. Skills: Detail-oriented with excellent organizational skills. Ability to work independently and as part of a collaborative team. Proficiency with compliance systems (e.g., Bloomberg, thinkFolio, CRTS) is advantageous.
#J-18808-Ljbffr
