Job Description
Our client manages close to £10billion AUM, employing in excess of 200 staff from its City of London offices
The role can include (but not limited to) assisting with reviewing financial promotions and marketing material to ensure the firm meets its regulatory responsibilities, working with the team on undertaking the Compliance Monitoring Programme, and helping or leading on regulatory change projects
Key Responsibilities/ Accountabilities
1. Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
2. Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
3. Assist in the development of policies and the establishment of reviews of procedures and policies where needed
4. Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
5. Be responsible for reviewing, recording and approving day-to-day compliance requests such as:
6. PA Dealing
7. Gifts and Benefits
8. Outside business interests
9. Assist the team by undertaking KYC, identi...