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Compliance Officer

Information About This Job

Job Title: Compliance Officer
Contract Type: Permanent
Location: London
Industry:
Salary: Competitive Salary
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 12 months 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

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