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Compliance Officer (Contract, Immediate Start)

Information About This Job

Job Title: Compliance Officer (Contract, Immediate Start)
Contract Type: Contract
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 14 days ago

Job Description

We are working closely with a well-known asset management firm in London in recruiting a Compliance Officer for an urgent hire, contract position with immediate start.

 

About The Company

The firm 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.  We believe that we can best deliver excellent long-term investment performance by working as a team to make investments in quality businesses at attractive prices.  We 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.  Our non-hierarchical structure ensures that we are bound together by a shared responsibility for our investment process and returns for our clients.  We recognise 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.

 

About The Role

To assist the Compliance Manager in maintaining the firm's’ Compliance framework  

 

Key Responsibilities

  • 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; 

  • Monitoring the company's 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;

 

Skills & Experience

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

  • Experience and knowledge of the FCA regulations

  • Proven relevant FS monitoring experience 

  • 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    

  •  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 are undertaken in the performance of the role comply with the relevant requirements of the firm's Compliance Manuals, including the company Code of Ethics .

Ref: | Published: 04th Oct 2017