Compliance Monitoring Officer

London, London
£250 - £400 per day
22 Sep 2016
20 Oct 2016
Contract Type
Full Time
Position: Compliance Monitoring Officer - Asset Management
Salary: £250 - £400 per day
Location: London
Type of job: 6 Months Contract

The company client is a leading organisation now seeking to recruit a highly skilled Compliance Officer to join their office based in the City.This is an outstanding opportunity to achieve a highly lucrative and rewarding career.

Top duties will involve:

* Carry out the daily monitoring of adherence to client investment restrictions, and maintain accurate investment restriction data on the system.
* Daily review of trades to ensure compliance with the Best Execution Policy.
* Ensure adherence to the Code of Ethics
* Oversight of the Compliance Marketing Guidelines, and ensuring that produced materials are in compliance with the guidelines.
* Assist Compliance Managers in the response to any reasonable request for information made by the FCA, SEC, FINMA or any other relevant regulatory authority

Experience and qualifications required:

* Have approximately one year's experience in a compliance function, ideally within an asset management company
* Some knowledge of FCA rules and regulations would be beneficial

Keywords: FCA SEC FINMA regulatory compliance

If you are interested in this position, please forward your details to us.