Maldon Partners are recruiting a Compliance Officer for an Award-winning Asset Management Firm based in the City of London.
The firm has an AUM c£22BN and 80ppl in the London Offices, it has a global footprint and a great family feel culture.
The role requires an experienced buy-side Compliance Officer who is approachable and experienced in dealing with the front office.
Hybrid working 3 days in the office.
The Role:
Reporting Directly to the CCO and working alongside 2 compliance analysts the role holder will be responsible for day to day compliance monitoring activities.
Responsibilities will include but not be limited to:
* Monthly Compliance monitoring (best ex and allocation)
* Review of fin pro and cross-border distribution material (marketing material)
* Regulatory reporting FCA and SEC
* Review and update compliance manual, policies and procedures
* Development and distribution of training programmes
* Ad Hoc Project work
Experienced Required:
* A minimum of 3yrs compliance experience in an investment / asset management firm
* Good knowledge of UK and international marketing regulations
* Previous compliance monitoring experience (NOT AML/KYC)
* Core Compliance experience (monitoring, policy and procedures, preparing MI and reg reporting)
* Good command of Excel / Powerpoint
* Excellent verbal and written communication skills
Salary:
The Compliance Officer role has a base salary of £65,000 - £75,000 depending on experience plus hybrid working.
*Please note only candidates who meet the above criteria will be contacted