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Compliance Executive

Information About This Job

Job Title: Compliance Executive
Contract Type: Permanent
Location: London
Salary: £50,000 - £55,000
Contact Name: Mark Foy
Contact Email:
Job Published: almost 2 years ago

Job Description

Our client, a top tier Investment and Wealth Management firm is seeking to appoint a Compliance Executive to join the Compliance team in London.


About The Role

The European Compliance team is seeking an experienced compliance professional to join the ISH reporting team. The ISH (Important Shareholdings) team is responsible for the daily monitoring, validation and submission of regulatory disclosures covering Significant Shareholdings, Takeover regimes, Short Selling and Issuer Requests.

Key Responsibilities

This position will primarily focus on conducting daily monitoring, data validation and filing preparation for the ISH reporting obligations Additional key responsibilities will include:

  • Performing of supervisory 4 eye reviews on both monitoring and filing forms prepared by colleagues

  • Participation in ISH related projects, performing regulatory analysis, data reviews and the provision of management information.


Skills & Experience

  • ISH experience performing day to day data validation and regulatory rule application to the full suite of ISH functions

  • Experienced in reviewing regulatory advice from law firms including Simmons and Simmons or Allen & Overy

  • Able to demonstrate participation and ownership of regulatory and data related projects

  • Solid Asset Management experience

  • Minimum A level or equivalent

  • Competent in Excel

  • English fluent. German or French a bonus

  • Strong analytical skills

  • Extremely Diligent, paying great attention to detail - Working knowledge of Bloomberg


Candidate Specification

The successful candidate must:

  • Be self-motivated with confidence to deal with all stakeholders -be able to work under pressure, meeting internal and external deadlines

  • Have good verbal and written communication skills

  • Be able to prepare and deliver written reports

  • Be a team player, willing to help and develop colleagues

  • Be able to build positive relationships across the business

  • Demonstrate a commitment to contributing to a strong compliance culture within the firm

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