We are recruiting for an Investment Management business looking for a Part Time Compliance Officer to join their business working 2 days a week. This role will be required to hold CF10/SMF 16.
- Review existing policies to ensure they are fully compliant with current UK legislation and regulatory requirements.
- Set-up a Compliance Monitoring Programme.
- Senior Management and Certification Regime active implementation, coordination and supervision.
- Provide guidance on financial promotions, including but not limited to investment presentations, in keeping with FCA requirements and corporate guidelines.
- Managing the pre-employment checking process which includes obtaining all relevant checks in a timely manner before the expected start date
- Conduct audits on a regular basis, e.g. DBS, professional registration, mandatory training and Immigration
- Provide advice to colleagues about training within the regulatory context
- At least 5 years Compliance experience, with knowledge of a similar Asset Management business.
- Good knowledge of the UK financial market regulations as well as European (UCITS, AIFMD) fund regulations;
- Degree educated
- Excellent communication skills, both written & verbally.
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Apply for this role through this job post or email an application to email@example.com