Exclusive: Compliance Assistant - Investment Management Experience Required - Ref: 3341C

Compliance Recruitment Solutions
City of London, London
23 Jul 2017
22 Aug 2017
Contract Type
Full Time

We are exclusively recruiting for a small niche investment management firm looking for a Compliance Assistant to join their business. In an interesting & varied role, duties will include;

• Carry out compliance testing, monitoring & reviews and tasks and follow up all issues raised
• Assist with drafting compliance policies and procedures
• Assist in reviewing and approving financial promotions
• Assists with preparation of risk related information for Board reports
• Manage new counterparty accounts, monitor and review counterparties
• Monitor gifts, dealing error, breaches, marketing, outside interests, political contributions and maintain registers
• Manage MIFID2 regulatory reporting - transaction reporting, post trade transparency
• Monitor best execution, trade allocations, cross trades
• Perform general compliance tasks as well as involvement in ad hoc compliance projects

The successful candidate will have at least 12 months compliance experience ideally from within an investment management firm or a compliance consultancy.

For further information or a confidential no obligation discussion, please feel free to call Chris Clarke or send your details to him.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.