An Investment Management firm is looking to recruit a Compliance Officer. Reporting into the Board, the successful candidates will be responsible for all aspects of Compliance and will look to take on the SMF 17 (MLRO) function within 6-12 months of joining.
- Provision of support and advice to the business and to compliance colleagues on all regulatory matters.
- Incorporate regulatory or corporate changes into guidance for the business unit and supporting the enforcement of all applicable regulatory policies applicable to the business unit.
- Design monitoring and oversight programmes and to carry out the compliance monitoring program to establish ongoing compliance with internal and regulatory requirements.
- Providing advice and direction to all departments on compliance with the Firm’s compliance policies and procedures.
- Conduct due diligence of clients, counterparties and potential joint venture partners for purposes of general know-your-client, anti-money-laundering and anti-corruption requirements.
- Reviewing marketing materials and other related materials.
- At least 5 years Compliance experience ideally within the Investment Management industry.
- Good understanding of AIFM regulations.
- Proactive approach and able to work independently.
- Excellent verbal & written communication skills.
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Apply for this role through this job post or email an application to firstname.lastname@example.org