Connecting to LinkedIn...

Compliance Officer

Information About This Job

Job Title: Compliance Officer
Contract Type: Permanent
Location: London
Salary: Competitive Salary
Contact Name: Mark Foy
Contact Email:
Job Published: almost 2 years ago

Job Description

About The Company
The company was established in 1989 as a research-driven organisation with the aim to generate excellent long-term investment performance in emerging market equities for institutional clients. The firm believes that they can best deliver excellent long-term investment performance by working as a team to make investments in quality businesses at attractive prices. They are structured to enable a diverse yet compact team of investors to generate fundamental research insights and, subject to rigorous challenge, express those insights in client portfolios.

The firm's non-hierarchical structure ensures that the firm is bound together by a shared responsibility for the investment process and returns for the clients. The firm recognises the importance of mutual respect and productive relationships and are committed to professional excellence and creating a work environment that is both stimulating and enjoyable.


Key Responsibilities

  • To assist the Compliance Manager in establishing and maintaining firm's Compliance Framework

  • Completion of the Compliance Monitoring Programme;

  • Arranging staff training in relation to regulatory / compliance issues;

  • Assist the Compliance Manager (and occasionally lead with supervision) in relation to specific

  • compliance projects;

  • Submission of FCA Approved Person Applications;

  • Perform Pre and Post trade approvals and monitoring using SCD Compliance Manager;

  • Liaise with stakeholders in the amendment of client investment guidelines;

  • Coding rules in SCD Compliance Manager to reflect client investment guidelines and restrictions;

  • Monitoring the companies insider and market sounding procedures;

  • Carrying out daily sanctions screening on Thomson Reuters Worldcheck;

  • Approval of marketing material;

  • Provision of compliance advice to the business;

  • Drafting and updating compliance policies and procedures;

  • Provide support in relation to regulatory visits;

  • Monitoring of regulatory developments and implementing necessary changes;

  • Attendance at committee meetings as a representative of the department;

  • Presenting at external fund board meetings on compliance issues.

Skills & Experience

  • A high level of motivation and commitment to a career in compliance

  • Experience and knowledge of the FCA regulations

  • Ability to interpret regulatory requirements and assess impact

  • Ability to work methodically to tight deadlines

  • Ability to communicate effectively with staff at all levels and third parties

  • Holder of the IMC (Investment Management Certificate)

  • The ideal candidate will have previous experience in an investment management firm, but would would consider previous experience from an Investment Bank or a law firm

  • Indicative 3 years relevant FS monitoring experience

  • SimCorp Dimension/Office 2007 Word/Excel/Bloomberg/Outlook/Internet Explorer

Regulatory Requirements

  • FCA Principles for Businesses – when performing role, have regard to the need for the firm to comply with the FCA Principles for Businesses at all times

  • Ensure that all activities undertaken in the performance of the role comply with the relevant requirements of the firm's Compliance Manuals, including the firm's Code of Ethics

Share This Job

Similar Jobs

Published: about 1 month ago
Published: 13 days ago
Published: 4 months ago
Published: 4 months ago
New York City
Published: 4 months ago