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Compliance Officer / Compliance Executive (Advisory)

Information About This Job

Job Title: Compliance Officer / Compliance Executive (Advisory)
Location: London
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.con
Job Published: over 1 year ago

Job Description

Our client, a leading asset management firm in London is looking to appoint a Compliance Officer / Compliance Executive.


About The Role

The primary role is to assist the relevant Advisory Manager or persons in the Investment teams and related areas on regulatory compliance and related activities in compliance with the firm’s obligations under all applicable regulatory systems. 


Key Responsibilities

  • Promote and enhance the compliance culture throughout IAML and the firm by building and focusing on partnership with investment teams through continuous demonstration of the the firm's core competencies.

  • Provide assistance to investment and operational support staff in their day-to-day business and be available to answer questions arising out of daily business activity with a focus on documenting market soundings and other administrative duties. 

  • Fostering awareness of a good compliance culture and customer outcomes, and effective conflicts of interest management.

  • Support and assist in pro-actively identifying, documenting and assessing  the compliance risks along with the Advisory Manager associated with the firm's business, including development of new products and business practices, new types of business or customer relationships, or material changes.  

  • Providing support for staff training, this should focus particularly on (a) the COLL sourcebook, (b) COBS, (c) and any other applicable regulations and (d) the internal policies and procedures of the firm.

  • Training should be performed on a regular basis, and needs-based training should be performed where necessary. Training should be developed on an on-going basis so that it takes into account all relevant changes (for example, changes to any applicable regulations or relevant changes in the firm's business model).

  • Keep abreast of changing regulatory requirements by:  Ongoing reviews of policies and recommending revisions to remain compliant to changing regulations; identifying affected policies and procedures and working with the applicable departments to revise, document and implement revisions; acquiring knowledge of new regulatory requirements and working with the Compliance Director to establish Compliance procedures.

  • You may be required to work such additional hours as are necessary for the proper performance of your duties.

The post-holder will also occasionally be required to perform additional tasks that are consistent with the nature and level of responsibilities outlined above.


Skills & Experience

  • Experience in experience in Compliance, within the asset management or financial services, preferably in the Advisory function.

  • A demonstrated ability to understand a wide range of regulatory requirements applicable to investment managers, with the ability to implement appropriate procedures to comply with these requirements.

  • A good understanding of the FCA rules and guidelines

  • A good understanding of the technical nature of the business

  • Degree qualified

  • A professional qualification is desirable but not essential


Person Specification

  • Strong interpersonal skills to be able to work effectively with a network of colleagues

  • Proven relationship management skill s

  • Able to operate effectively and succeed in a complex, non-hierarchical, entrepreneurial environment

  • Able to motivate staff with whom there is no direct reporting relationship

  • Personal credibility

  • Resolves issues by escalation or decision, as appropriate

  • Contributes effectively in meetings

  • Displays well developed and effective negotiating skills

  • Builds close working relationships with other areas of the business

  • Is clear, articulate, credible and persuasive in all communications

  • Liaises effectively at all levels, internally and externally

  • Shares product expertise with colleagues

  • Maintains high standards for written and verbal presentations

  • Effective time management skills

  • Excellent interpersonal skills, highly organised

  • Ability to work under pressure

  • Excellent team player

  • The ability to interact with senior management and investment professionals

  • Strong written and oral communication skills

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