Lutine Bell are currently supporting a Global Investment Manager looking to appoint a Senior Compliance Officer, reporting directly into the Head of Compliance.
Responsibilities:
* Conduct the Compliance Monitoring programme covering the Firm’s regulated business.
* Provide sound advice proactively on asset management compliance matters as prioritized by the CCO.
* Ensure the prompt and accurate completion of daily and ad-hoc regulatory returns and reports including, Major Shareholders, SSR and Takeover Panel.
* Oversight of Transaction Reporting controls
* Support the Money Laundering Reporting Function, including training for employees, appropriate provision of information to senior management, appropriate measures to ensure the effective control of risk within the firm’s day-to-day operations, including the new clients on-boarding and changes to the firm’s business profile.
* Escalate any material compliance/regulatory concerns or issues to the CCO as required.
* Assist the CCO in the delivery of timely and effective reports to the Committees & Board in respect of that oversight.
* Maintain the firms Compliance Policy & Procedures
Requirements:
* At least 7 years relevant experience in the Investment Management industry or similar function
* Solid appreciation of regulatory UK reporting requirements (i.e. Major Shareholding, SSR & Takeover Panel)
* Strong UK regulatory background on market abuse and trading activities
Location: London (hybrid working)
Salary: up to £95,000 (plus bonus & benefits)
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