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Senior Compliance Officer – Asset Management Compliance Advisory Experience Required

£80K - £100K + Benefits & Bonus | City
Ref: 3418J2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a Global Investment Management firm, are looking to recruit a Senior Compliance Officer.  Reporting to the European Head of Compliance in this broad and varied role, duties will include
 
• Provides advisory support to all European investment professionals across the business with a specific focus on the business in London
• Support all asset classes on the following topics:
o Advise and assist the Investment Division on a wide range of Investment related compliance matters
o Advise on trading related matters such as best execution, cross-trading, trade aggregations and equitable allocations
o Advise on market abuse matters, including insider dealing, market manipulation and market soundings
o Provide broader senior compliance investment advice as and when required to senior Investment staff across Europe as and when required
• Support the Investment Compliance team in the thematic Compliance monitoring and investigations across the Investment Division in Europe
• Stay abreast of local UK industry practices and regulatory approach to the above related subject matters and participate in related industry working groups
• Represent Compliance on various Investment related committees within firm
• Supporting investment compliance projects (driven either by business or regulatory initiatives) and being the compliance representative on transversal company projects
 
The ideal candidate should have previous front office advisory experience from asset management with a broad technical (markets and regulatory) knowledge, including some or all of MiFID II, MAD II/MAR, UCITS, AIFMD and EMIR.
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com
 

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