- Cordium
- 50,000 - 60,000
- London < England < United Kingdom
- Permanent, Full time
- 25 Nov 13
This successful and well-established
Investment Management firm is looking to hire an experienced compliance
professional to join their Compliance team.
Based in the West End and reporting directly to the Compliance Manager, this is a varied and interesting role covering many different compliance disciplines in support of a range of businesses including Fixed Income, Real Estate and Corporate Finance.
Key Responsibilities include (but are not limited to):
Key Skills and Experience
Please contact me on giles.remmington@cordium.com or on 0203 141 9635
Based in the West End and reporting directly to the Compliance Manager, this is a varied and interesting role covering many different compliance disciplines in support of a range of businesses including Fixed Income, Real Estate and Corporate Finance.
Key Responsibilities include (but are not limited to):
- Provision of support and advice to the business and to compliance colleagues across a range of regulatory matters
- Educate and train employees in regulatory matters in order to maintain compliance awareness
- Responsible for design of monitoring and oversight programmes; carry out regular monitoring to establish ongoing compliance against internal and external regulatory requirements
- Assist with trade monitoring using in house and external investment management systems
- Assist in the maintenance of compliance databases, including Approved Persons, marketing and Code of Ethics
- Carry out the review and approval of marketing literature
- Liaison with global internal entities and external agencies as required
- Responsible for the collection and collation of information for senior management reporting
- Protect the integrity and reputation of the Company and to develop a positive compliance culture
Key Skills and Experience
- Minimum 4 years’ compliance experience gained in an investment / asset management firm
- Real Estate and/or Fixed Income exposure – beneficial but not essential
- Demonstrate a genuine interest in and experience of financial regulation and markets
- Degree educated
- You are a strong team player who is inquisitive, self-motivated and industrious
- Excellent written and oral communication skills
- Proven team player
- Detail orientated, able to set priorities and complete simultaneous projects
- Able to meet tight deadlines whilst maintaining a high quality of work
Please contact me on giles.remmington@cordium.com or on 0203 141 9635
50,000 - 60,000
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