Overview

An Investment Management firm, based in the City of London, seek an experience Compliance Generalist to join their Legal & Compliance function. A great opportunity for an individual looking for that next step of their career offering exposure to all areas of compliance and working closely senior management as this business continues to grow.

Main Responsibilities:

  • Responsible for maintaining ongoing relationship with the FCA, meeting statutory regulatory reporting obligations, registration and deregistration of FCA approved persons
  • Design and carry out compliance monitoring programme.
  • Oversight of the Compliance Manual and Compliance Policies.
  • Review of front and back office procedures, due diligence process to determine if they are fit for purpose.
  • Support the MLRO in their responsibilities, including submission of an annual MLRO Report to the board.
  • Monitor changes in the regulatory landscape. Ensuring the business is compliant with all of the changes and developments.

Job Requirements:

  • Experienced compliance professional with at least 5 years compliance experience working within an AIFM or MIFID regulated Investment Management firm.
  • Strong interpersonal and communication skills.
  • Team player with a good attention to detail.

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